Hill Dickinson’s financial regulatory team is able to advise on the full range of issues affecting financial services clients. These include the application of FSMA, the FSA rules, MiFID and other European regulation affecting financial institutions where the UK is either the home or the host member state.
Working with the regulators to promote transparency and co-operation, we can provide compliance guidance on the creation and distribution of new financial products. We can also advise on authorisation, passporting, conduct of business, customer documentation and marketing regulation and outsourcing. We also have expertise in corporate governance issues, data protection, money laundering and the prevention of financial crime.
Through our network of correspondent law firms throughout the world, we can also source advice on compliance with financial services regulation in overseas jurisdictions.
In the unlikely event of enforcement action, our regulatory team has experience of dealing with all of the financial enforcement agencies. We have represented both corporates and individuals in matters ranging from responses to requests for information through to full-blown investigations and disciplinary proceedings.
Whilst the team always seeks to prevent a matter coming to court, we have extensive experience of the trial process, should that be required.
‘Excellent in all respects’, Hill Dickinson
LLP has had the largest offering in Liverpool since it acquired the
corporate practice of Halliwells in July 2010. Craig Scott has the
‘ability to communicate in non-legal language’, and has particular
expertise in private equity matters. Other recommended partners
include Sue Russell and Jonathan Brown, the ‘responsive, pragmatic
and flexible’ Jane O’Sullivan; and new arrival from Squire Sanders
Hammonds Ian Gillis. Recent highlights include advising Klarius
Group on its acquisition from Affinia Holdings of the Quinton
Hazell Automotive Group.
Sources are appreciative that partners "make an effort to
find out what is important to us."
