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Stockbrokers & Fund Managers

Advising stockbrokers & fund managers on litigation, regulation and risk

Our team advises stockbrokers, fund managers, wealth managers and IFAs who increasingly have to deal with contentious matters, including FSA investigations, claims before the Financial Ombudsman Service and other litigation. Our clients include a diverse range of investment banks, trust companies, and corporate and private client financial services professionals.

We have extensive experience in litigation and FSA enforcement work, and we represent clients in challenging FSA rejection of approval for firms and individuals, and advise on regulatory investigations of all types.

Our professional practice team includes very experienced regulatory and dispute resolution lawyers.

Financial services professionals are under constant pressure to deliver increased value on the assets they manage. Recently, there has also been increasing public, legal and regulatory scrutiny and the industry has experienced greater uncertainty.

Our Stockbrokers & Fund Managers Work

  • UK & Europe
  • Financial Ombudsman Service Advice

    Instructed by a client in relation to a FOS assessment concerning Fund investments and advising on the design and implementation of a potential redress

    United Kingdom

    Monitoring and Coverage work

    Providing monitoring and coverage advice in a claim against an insured Fund Manager

    United Kingdom