Financial Services

There are tremendous opportunities for wealth creation in the financial sector as the market and its products evolve on a daily basis. However, customers and counterparties are increasingly litigious whilst misconduct incurs criminal liability more readily than in the past.

The financial sector is more regulated and complex than any other, bar none

Our Financial Services team acts for a diverse range of clients across this sector ranging from individuals to hedge funds.  Our clients require a dynamic law firm that can deliver commercial advice combined with an in-depth understanding of current market practice.

The team is adept at providing practical advice to businesses exploring the regulatory implications of new initiatives. We can also help those facing regulatory challenges as a result of previous investment activity.

The team principally advise in the following areas:

Funds

  • Primary investments in private equity funds, hedge funds and alternative investment funds
  • Secondary acquisitions/disposals by investors of private equity fund portfolios
  • Private equity co-investments
  • Fund structuring and establishment
  • Fund management arrangements
  • Bespoke projects for GPs and LPs

Financial Services

  • Perimeter guidance issues
  • Financial promotions
  • Terms and conditions governing services, platforms and products
  • Investment management agreements
  • Appointed representative, agency and distribution agreements
  • Outsourcing agreements
  • Peer-to-peer lending and Crowdfunding
  • Regulatory investigations and enforcement proceedings

Tax

  • Structuring of investments and divestments  
  • Structuring of management participation in private equity funds 
  • Debt finance
  • Enterprise investment scheme and venture capital trust funds 

Corporate

  • Mergers and acquisitions
  • Private equity investments and divestments
  • Factoring and secured revenue streams
  • Joint venture arrangements and strategic alliances

Employment

  • Executive compensation and incentivisation arrangements
  • Executive recruitment and dismissals
  • Confidentiality and non-compete clauses
  • Application of the FSA Remuneration Code

Our clients in this sector are made up of institutional investors, family offices investing in private equity funds, hedge funds and other alternative investment funds.

For further details, please email financialservices@keystonelaw.co.uk or telephone 020 7152 6550 to speak to a Keystone Partner.