Regulatory and Funds
Rosenblatt’s offering is to a wide variety of regulated businesses, particularly those in the financial services sector including: insurers, fund managers, banks, brokers, financial intermediaries, broadcasters, newspapers, pension fund trustees and administrators. The team provides fast, down to earth practical advice on all aspects of regulation and on financial products and services.
The areas we advise on include:
- Compliance with Financial Services Authority (“FSA”) rules (including those relating to the acquisition of FSA regulated entities)
- Establishment of onshore and offshore funds (including the listing of funds on a variety of markets)
- Applications for FSA authorisation and amendments to the scope of a firm’s FSA’s permissions
- Marketing rules for hedge funds, private equity funds and property funds
- Advice on distribution of financial products and services (including ISAs, SIPPs, SSASs, QROPs, ROPs, EFRBs, EBTs and other tax-based products)
- Commercial agreements (including investment management agreements, administration agreements, distribution agreements and platform agreements)
- Outsourcing of administration, fund management and other functions
- Drafting of terms of business for brokers, banks and others (including terms for electronic banking and broking)
- Structuring of lending (including subordinated loan agreements in a form approved by the FSA)
- Financial instruments including derivatives
- Ofcom and Gambling Commission issues
- Consumer credit
- Competition law matters
- Investigations and enforcement
We work alongside specialists in tax, accounting and other areas, particularly those in off-shore financial centres. So, whether you are a multi-national company, small company, limited liability partnership or pension trustee and administrator, we have the experience to help you. Many of our clients seek to contain costs either through fixed fees or monthly retainers for ongoing work. Whatever your requirements we have the experience and commitment to provide top quality advice at the right cost.
Contact Peter Price by email or by clicking on his image below.