Our dedicated team advises on litigation, regulatory, risk management and related matters for stockbrokers, wealth managers and IFAs.
Financial services professionals are under constant pressures from their clients 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. Stockbrokers and wealth managers increasingly have to deal with contentious matters, including FSA investigations, claims before the Financial Ombudsman Service and other litigation.
We have extensive experience in litigation and FSA enforcement work, and our clients include a diverse range of investment banks, corporate and institutional stockbrokers, private client stockbrokers, fund managers and financial services and trust companies.
We represent clients in challenging FSA rejection of approval for firms and individuals, and advise on regulatory investigations of all types. Our lawyers are experienced in the UK and internationally, in all forms of regulatory and dispute resolution and other processes.