Financial Services Regulation and Compliance

Compliance advice including provisions of bespoke compliance manuals
Advice on EU Financial Services Law including UCITS directives and EU prospectus advice and EU Market Abusive Regime
Contentious and non-contentious FSA matters in conjunction with our Litigation Department

Financial Services including:

Start-ups and authorisations
Marketing materials to investors including financial promotions
Market abuse
Conduct of business issues including FSA client classification letters and terms of business
Regulated activities order, activities and useful exemptions
Senior management arrangements and FSA SYSC Source Book
Approved persons regime
Market conduct, price stabilising rules and inter-professional conduct and endorsement of the Takeover Code
Companies Act and Takeover Panel proprietary positioning reporting
Product risk mitigation
Training competence
Money laundering
Effective supervision
Enforcement and disciplinary issues
Internet financial services transactions including e-commerce and electronic money
Professional firms
UKLA Source Book and Listing Rules, recognised investment exchanges and recognised clearing housing
General interpretation and application of the FSMA regime to financial services products including PEPs and ISAs, collective investment schemes or funds generally

Investment Funds areas covered

UK Funds structuring and formation – OEIC/ICVC, unit trust and Investment Trust
Off-shore funds structuring and formation including Cayman/Dublin hedge funds, Channel Islands and other jurisdictional products in conjunction with local advisors
UK fund reconstruction
Off-shore fund reconstruction/re-domiciling
OEIC/ICVC conversions
Investment management agreement – drafting, negotiating, reviewing
Negotiating all aspects of funds service provided documentation per pro fund
Private equities and VCTs
Structuring and use of collective investment schemes

T: +44 (0) 20 7955 0880
E: robertg@rosenblatt-law.co.uk