Latest Case Study
Case Study: 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 and to collate the documentation the clients needed to support the application.
Latest Case Study
Case Study: 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 and to collate the documentation the clients needed to support the application.
Case Study Archive
Case Study: 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 and to collate the documentation the clients needed to support the application.
Case Study: 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. ...
Case Study: Understanding the interaction between PRIPPs and MiFID II
We were instructed by an EMEA fund provider (manufacturer) which needed to understand the interaction between PRIPPs and MiFID II and to identify any synergies between them. We worked with the client’s in-house legal and product development teams to understand the...
Case Study: 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 required to comply with MiFID II.
