Providing a fixed cost service to Royal Bank of Scotland plc for the review of various marketing and promotional materials for compliance with relevant FSA requirements.
Advising BNP Paribas Securities Services on various legal and regulatory issues concerning its authorised fund administration business, Investment Fund Services Limited. This included the provision of advice for standard documentation used in the business as well as various legal and regulatory issues arising from the venture. We also advised on the establishment of the related SIPP and wrap service.
Advising Sanlam Financial Services on the establishment of its new support business for authorised retail funds in the UK. This included the provision of full legal and regulatory support on the FCA application process and the provision of supporting documentation.
Providing opinions to Royal Bank of Scotland and various financial institutions regarding compliance with BIPRU in relation to real estate collateral, and advising Sarasin & Partners LLP on its tier 2 capital structures including the provision of a legal opinion in relation to compliance with GENPRU.
Advising various businesses including Svenska Handelsbanken on the application of the Banking Conduct of Business Rules (BCOBS) and the Payment Services Regulations (PSR).
Advising Standard Chartered Bank on the employment aspects of a significant acquisition of an international bank.
Successfully handling a number of high value and sensitive sex/race discrimination tribunal claims for a FTSE 100 international bank.
Advising Bank of Ireland on general employment matters including unfair dismissal, wrongful dismissal, redundancy, disciplinary matters (including misconduct and poor performance), discrimination, compromise agreements, equal pay and ill-health.
Advising Resonance Impact Investment Limited on the launch of one of the UK's first social investment tax relief (SITR) funds, including regulatory advice resulting in successful lobbying to change the financial promotion regime.
Advising lenders and funds including Octopus Investments on the process to become FCA authorised for consumer credit lending, including reviewing application forms, FCA-required policies and procedures, suites of lending documentation and ancillary statements and notices.
Advising an asset management client on platform agreements for VCTs and unlisted financial products.
Advising a leading financial services company on various commercial agreements with bank sponsors, card providers and payment schemes and on regulatory compliance in respect of payment services, e-money and consumer credit activities.
Advising on fund structuring, fund documentation and regulatory compliance with AIFMD and UK regulation for a shared ownership home fund.
Assisting StrideUp (www.strideup.co), an innovative home finance startup, on its mission to empower new generations with the same opportunity of homeownership and the financial security it brings. Our work with the StrideUp team involved regulatory and corporate structuring, and subsequent real estate and conveyancing work.