Edwin Coe | Financial Regulation Lawyers | Corporate Team

Introduction

The Financial Regulation and Private Capital Funds practice addresses two broad areas.

First, we advise clients on all aspects of the UK financial regulation system. This can include assisting clients to become and remain regulated by the UK Regulators (chiefly the FCA), but also working with clients to minimise the impact of regulation or to avoid becoming regulated altogether. Clients include:

investment and asset managers
corporate finance firms
insurance brokers
mortgage and credit lenders
peer-to-peer platforms
payments and e-money firms
benchmark providers
funeral plan firms
claims managers.

A particular practice strength is in advising short-term loan finance arrangers how to operate outside of regulation. A growing new area is the impact of regulation on the crypto-assets market.

We also assist clients with the establishment, promotion and servicing of private capital investment funds, both in the UK and offshore, and with the UK regulatory consequences of promotion and management of different types of private fund.

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Our Services

Advice on seeking regulated status – or on avoiding becoming regulated where appropriate
Drafting and review of client agreements
Support and legal advice for firms already regulated, regarding their relations with FCA and its supervisory functions
Support for firms or individuals involved in FCA enforcement process
Assistance to claimants and defendants with cases brought to the Financial Ombudsman Service
Addressing change in control issues e.g. where regulated firms are bought and sold
Across-the-board advice on the applicability of the financial promotion regime and the exemptions from the financial promotion restriction
Advising on the establishment and operation of collective investment schemes, and conversely, on instances where investors have become involved with unlawful CISs
Advice surrounding the market abuse regime and the regulations controlling insider dealing.
Advice on compliance with the Money Laundering etc. Regulations 2017 as amended
Registration with FCA of different species of alternative investment fund
Advice surrounding the formation, management and promotion of alternative investment funds (UK and offshore) to different categories of UK investor
Applications for prospective deposit-taking entities for regulation by the PRA
Applications to the Payment Systems Regulator