Law Firm Collaboration
As a firm which specialises in financial services regulatory work, we are trusted by law firms without that specialist capability to work with them in supporting their clients. We can play our part seamlessly in a variety of ways:
- providing discrete advice which informs their work or which they can white-label to a client; or
- acting on particular projects, as part of the firm’s team, and charging so as to provide a margin on hourly rates, for example, providing regulatory advice / support:
- related to an investigation or a piece of litigation; or
- on a corporate transaction e.g. due diligence matters; FCA
change in control; and ECM issues such as DTRs / PDMR
disclosures / market abuse.
Recent work examples include:
- Working with lawyers to the company on a premium listing on the London Stock Exchange of an Investment Trust: advising on regulatory matters, including, AIFMD and funds issues / documentation; investment advisory issues; and Appointed Representative arrangements.
- Undertaking regulatory and commercial due diligence for a law firm in connection with the purchase of a payments and e-money group of companies.
- Assisting a law firm in CIS / AIF structuring to facilitate its funds offering.
- Advising a law firm on its client’s crypto distribution project.