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Setting up a UK regulated fund

Setting up a UK regulated fund

A non-EEA client sought our advice on establishing a UK regulated fund.  The client has considerable expertise as a regulated wealth advisor and fund manager in their home jurisdiction.  The client saw opportunities in the UK but was uncertain where to set up a fund. ...
Obtaining FCA authorisation / licences

Obtaining FCA authorisation / licences

A client consulted us on their application for investment firm registration with the FCA.  Initially we were asked to provide a comprehensive summary of the overall regulatory requirements for the specific regulated business. We then helped to draft the application...

MiFID II Compliance

The UK Branch of a non-EEA bank wanted to understand the impact of MiFID II on its business in the EEA. We began with a plain language analysis of the changes and undertook a ‘gap’ analysis of the bank’s then current position.  We gave tailored advice on the changes...