Following the merger of Allen & Overy LLP with Shearman & Sterling LLP in May 2024, A&O Shearman has solidified its position as a market-leading financial services advisory and regulatory practice, housing a team of ‘seasoned professionals with extensive experience’ across the full gamut of mandates. Counting global banks, asset managers, market infrastructure providers and other financial institutions among his key roster of clients, Bob Penn jointly leads the team alongside Barney Reynolds, who maintains a strong track record advising on mandates concerning UK and EU regulation. Ben Regnard-Weinrabe has ‘unrivalled knowledge’ of fintech, payments, cryptoassets, retail banking and consumer finance, and Damian Carolan is an expert in derivatives and securities regulation, while Kate Sumpter advises on regulatory-driven structural change projects for international banks. Other key contacts in the group include ‘exceptional’ Nick Bradbury, who is noted for his expertise in digital and cryptoassets regulation, Thomas Donegan, fintech regulatory specialist Nikki Johnstone and Nadia Pascal.
Financial services: non-contentious/regulatory in London
A&O Shearman
Responsables de la pratique:
Barney Reynolds; Bob Penn
Autres avocats clés:
Ben Regnard-Weinrabe; Damian Carolan; Kate Sumpter; Nick Bradbury; Thomas Donegan; Nikki Johnstone; Nadia Pascal; Rory Copeland; Greg Talbot
Les références
‘Nick Bradbury is solutions-oriented and highly commercial in his approach. Client engagement and responsiveness is exceptional.’
‘Greg Talbot is very practical and client focused.’
‘A strong team to help navigate through complex and novel legal issues. Very impressive.’
Principaux clients
UK Finance
SwapAgent Ltd.
Tradeweb Europe Ltd.
Virgin Atlantic Airways Group
A global US headquartered bank
Refinitiv
Blackstone
CPPIB
Woodbridge
Nomura International Plc
LCH Ltd.
eBay Inc.
Uber
Oaknorth
Payhawk
Juni
Remitly, Inc.
Mangopay
Bank of America
Citibank
Morgan Stanley
Wells Fargo
Société Générale
Mubadala
Coinbase
Banco Bradesco
Absa Bank
Central Bank of Cyprus
Canaccord Genuity Group
Intercontinental Exchange Inc.
Investors in London Capital & Finance plc
Principaux dossiers
- Advised a bank syndicate comprising BNP Paribas, HSBC and RBC Capital Markets on the European Investment Bank’s inaugural issuance of sterling-denominated digital bonds, also marking the first public issuance on HSBC Orion, HSBC’s tokenisation platform.
- Advising Société Générale on its business combination with AllianceBernstein, concerning their equity brokerage and equity research businesses.
- Representing Mubadala Investment Company PJSC in its acquisition, together with members of Fortress management, of SoftBank Group Corp’s 90.01% equity interest in Fortress Investment Group LLC.
Clifford Chance LLP
Clifford Chance LLP showcases stellar expertise across a broad range of financial services regulatory matters, including post-Brexit mandates, regulation surrounding digital assets, policy work and the regulatory aspects of high-profile M&A transactions. Practice leader Caroline Meinertz provides ‘commercially focused, pragmatic and solution-orientated’ advice to global financial institutions on Brexit-related matters, while the ‘practical and knowledgeable’ Simon Crown specialises in funds and asset management. Caroline Dawson counts asset managers, banks, disruptor blockchain providers and crypto services providers among her key roster of clients, while Paul Ellison focuses on the regulation of private equity funds, fund structuring and the regulatory aspects of corporate transactions. Monica Sah has ‘extensive experience’ in Brexit structuring issues and mandates concerning fintech, cryptoassets and cryptocustody. Diego Ballon Ossio and Stephanie Peacock are key contacts in the group.
Responsables de la pratique:
Caroline Meinertz
Autres avocats clés:
Simon Crown; Monica Sah; Caroline Dawson; Diego Ballon Ossio; Stephanie Peacock; Clemens-Emanuel Gutwenger
Les références
‘Monica Sah has extensive experience. She anticipates the practical implications, reflects on them and makes sure we are getting solutions that we can implement.’
‘Expertise and commercially pragmatic advice on complex multi-jurisdictional matters.’
‘Caroline Meinertz is highly responsive, willing to make herself available at short notice, able to simplify and get to the heart of complex matters quickly while providing commercially focused, pragmatic solution-orientated advice.’
Principaux clients
Global Financial Markets Association
CryptoFacilities Limited
HSBC
Linklaters LLP
The ‘top-class’ team at Linklaters LLP demonstrates ‘incredible breadth and depth’ of expertise in high-risk and cross-border mandates, concerning MiFID II, CSDR, ESG, payment services and fintech, among others. Michael Kent acts for banks and investment groups on their implementation of Senior Managers and Certification regimes in the UK, in addition to MiFID II and Brexit-related matters. Peter Bevan advises investment managers, private banks, hedge funds and private equity funds on regulatory issues, while Harry Eddis handles perimeter issues, including authorisation requirements, market abuse and market conduct requirements. Raza Naeem is praised for his ‘exceptional knowledge of the UK financial services regulatory landscape’, often advising global asset managers and private banks on ESG mandates. Other key contacts in the group include Alastair Holt and team leader Martyn Hopper.
Responsables de la pratique:
Martyn Hopper
Autres avocats clés:
Michael Kent; Peter Bevan; Harry Eddis; Raza Naeem; Alastair Holt
Les références
‘The Linklaters regulatory team is superb. They have incredible breadth and depth that is top-class in the UK. They are usually able to advise strategically and effectively on a wide range of matters, but likewise can bring in other experts as needed. A fantastic team.’
‘Raza Naeem has exceptional knowledge of the UK financial services regulatory landscape. Highly available, responsive and always gives pragmatic and actionable advice to complex questions.’
‘Matryn Hopper has solid experience, is always calm under pressure, pragmatic but also not afraid to advise firmly where needed.’
Ashurst
Commended as ‘the best in town’, Ashurst offers ‘unrivalled expertise in financial services regulatory matters’, from digital assets and ESG regulatory compliance to retail brokerage platforms, wholesale market regulation and financial market infrastructure. Jake Green is a ‘trusted adviser’ when it comes to retail investment platforms, while Etay Katz is a ‘master of digital assets’. Commended as an ‘exceptional financial services lawyer’, Tim Cant is noted for his experience advising on MiFID II and the ‘pragmatic’ Bradley Rice acts for funds and asset managers, with additional expertise in fintech and digital finance. Other key contacts in the group include Lorraine Johnston, who is a ‘seasoned adviser on matters of ESG’, and Sidika Ulker.
Responsables de la pratique:
Jake Green; Etay Katz; Bradley Rice; Lorraine Johnston; Tim Cant
Autres avocats clés:
Sidika Ulker
Les références
‘Ashurst has an incredible depth across the financial regulatory arena. They are our go-to for the most complex questions of regulation; they are the best in town. Very savvy and with exceptional knowledge of the regulators’ agenda.’
‘Etay Katz has a rare cross sectorial understanding of financial services business. He is a statesman in the regulatory space. He is a master of digital assets and has rare ability to fill regulatory void in a thoughtful and constructive way.’
‘The ability to steer clients through a plethora of regulation in a pragmatic manner, providing balanced interpretation and sensible risk solutions.’
Principaux clients
Goldman Sachs
Oak Hill Advisors
Jefferies
eToro
Peel Hunt
OSTTRA
Monument Bank
General Atlantic
Tritax Management LLP
HSBC
Banking Circle
SMBC
ANT Financial
London Stock Exchange Group
Shawbrook Bank
JP Morgan
Raymond James Investment Services
Ramp Swaps
Recognise Bank
Laser Digital
Royal Bank of Canada Europe Limited
Brewin Dolphin Limited
Vontobel
Latham & Watkins
Praised for its ‘breadth and depth of knowledge and experience’, Latham & Watkins handles the financial services regulatory aspects of high-value transactions, in addition to advising on matters concerning ESG, market infrastructure and consumer credit. Rob Moulton focuses on European regulatory developments, including MiFID and MAR, and jointly leads the team alongside Nicola Higgs, who co-chairs the firm’s global financial institutions industry group. Higgs acts for global investment enterprises on the sale of derivative products to professional and retail investors. Becky Critchley advises on consumer protection and lending, MiFID compliance and benchmark regulation, while Anne Mainwaring has ‘impressive knowledge’ of ESG regulatory developments.
Responsables de la pratique:
Rob Moulton; Nicola Higgs
Autres avocats clés:
Becky Critchley; Anne Mainwaring
Les références
‘Anne Mainwaring has impressive knowledge and an understanding of the industry. She has a great skill in finding solutions and is open to discuss different ideas.’
‘Rob Moulton is a strong, commercial leader.’
‘Good balance between pragmatic and innovative.’
Principaux clients
AllianceBernstein
Ares Management
Investec
KKR Credit Advisors
Morgan Stanley
Numis Corporation Plc
RBC
S&P Global
The Carlyle Group
UBS
Principaux dossiers
- Advised Numis on the regulatory aspects of its acquisition by Deutsche Bank.
- Advised S&P across a number of divisions in relation to the corporate, governance and regulatory structure of the acquired IHS Markit business, in order to create a global framework for future operations of the businesses under one umbrella.
- Advised Lithia Motors on its joint venture with Pendragon PLC, creating the second largest car dealer group in the UK by revenue.
Norton Rose Fulbright
The ‘knowledgeable and experienced team’ at Norton Rose Fulbright stands out for its expertise in the wholesale markets sector, advising on matters concerning retail and wealth management, with a strong capability in handling cross-border mandates. ‘Top-notch’ Hannah Meakin focuses on market infrastructure, commodities derivatives, fintech and crypto regulation work; clients ‘would be lost without her’. Meakin leads the practice alongside Jonathan Herbst, who has ‘enormous experience’ in bank structuring and advisory matters, and Katie Stephen. Albert Weatherill leads the firm’s global payments practice and Matthew Gregory counts domestic and overseas banks, investment firms and wealth managers among his key roster of clients.
Responsables de la pratique:
Jonathan Herbst; Hannah Meakin; Katie Stephen
Autres avocats clés:
Albert Weatherill; Matthew Gregory
Les références
‘A knowledgeable and experienced team, extremely responsive and attentive to clients’ needs.’
‘Jonathan Herbst has an impressive understanding of the legal and regulatory framework. He is able to advise in a calm and reassuring manner across a number of complex and sensitive matters. ’
‘NRF’s reputation sets the practice apart. Their proven track record of delivering quality services withstands the scrutiny of our clients and maintains our trust in the practice.’
Principaux clients
Citadel
CME Group
Goldman Sachs
KKR
BNP Paribas
Morgan Stanley
Société Générale
Revolut
Save the Children (on a pro-bono basis only)
Provident
Royal Bank of Canada
European Bank for Reconstruction and Development
Conning
Standard Chartered Bank
Bank of America
Starling Bank
Bank of Montreal
Charles Stanley
HSBC Innovation Banking
ICBC
ABN Amro
Principaux dossiers
- Advised Conning Holdings Limited on its acquisition by Generali Investment Holdings S.p.A., the asset management arm of one of the largest global insurance firms, Generali Group.
- Advised Morgan Stanley’s US and European business divisions on the asset sale of Solium Capital UK (the European part of its public equity share plan business, which trades as Shareworks).
- Advised KKR on its acquisition of French insurance group APRIL and of a minority interest and capital partnership with UK asset manager Trinity Debt Capital.
Simmons & Simmons
Simmons & Simmons acts for a range of clients, from asset management companies, hedge funds and global investment banks to payment and consumer credit enterprises, cryptocurrency and digital token businesses, commodity traders and insurance companies, among others. Penny Miller leads the team and advises on the implementation of and ongoing compliance relating to the SMCR, in addition to associated governance, conduct risk and Consumer Duty. Darren Fox specialises in hedge fund manager regulation, exchange traded derivatives and banking regulation, while Charlotte Stalin remains the first port of call for global investment firms and banks. James Wallace, who is noted for his expertise in alternative asset management, is another key contact in the group.
Responsables de la pratique:
Penny Miller
Autres avocats clés:
Charlotte Stalin; Darren Fox; James Wallace
Principaux clients
Waystone Group
Schroders
Energy Impact Partners
Blackstone
First Sentier Investors
Global Bank
Slaughter and May
Counting international banks, insurers, investment groups, market infrastructure operators and asset managers among its key roster of clients, Slaughter and May handles a broad range of advisory, transactional and strategic regulatory mandates. Jan Putnis, who maintains a strong track record in handling financial services regulatory matters and cross-border transactions, jointly leads the practice alongside Nick Bonsall, who is praised as ‘a truly outstanding figure in the market’. Bonsall continues to showcase an interest in EU/UK regulatory regimes for solvency/own funds and governance, while ‘standout partner’ David Shone acts for a range of financial institutions, financial technology enterprises and challenger banks. Other key contacts in the group include Sabine Dittrich and Kristina Locmele.
Responsables de la pratique:
Jan Putnis; Nick Bonsall
Autres avocats clés:
David Shone; Kristina Locmele; Sabine Dittrich
Les références
‘Slaughter and May has a great financial services team.’
‘Nick Bonsall provides savvy advice, perfectly guides the client and is super responsive. A truly outstanding figure in the market.’
‘Slaughter and May are my go-to firm when there is a complex regulatory matter that is high risk and requires immediate priority.’
Principaux clients
Aviva
HM Treasury
Pollen Street
Standard Chartered
Prudential
Allianz
abrdn
Sumitomo Mitsui Financial Group
Arrow Global
Non-standard Finance
Monzo
OneSavings Bank
BT Pension Scheme
Moody’s
Handelsbanken
Principaux dossiers
- Advised Aviva on the regulation requirement of AIG Life Limited from Core Bridge Financial for £640 million.
- Advised Non-Standard Finance on the regulations in relation to its financial restructuring to fund the partial payment of redress claims, while restoring its position and allowing its Everyday Loans bran-based business to continue trading.
- Advised HM Treasury on the UK implications of the crisis in confidence in Credit Suisse Group.
Travers Smith LLP
The ‘thoughtful, responsive and practical’ team at Travers Smith LLP counts asset managers and private equity houses, as well as investment banks, hedge and credit funds, payment and e-money institutions among its key roster of clients. Tim Lewis leads the practice, with other key contacts including Phil Bartram, Michael Raymond and Natalie Lewis. Mark Evans is a key name for financial market infrastructure issues.
Responsables de la pratique:
Tim Lewis
Autres avocats clés:
Phil Bartram; Michael Raymond; Natalie Lewis; Mark Evans; Danny Riding; Henriika Hara; Samuel Brewer
Les références
‘Samuel Brewer is practical and commercial.’
‘Both Phil Bartram and Henriika Hara are our trusted advisers. They are there to help when needed.’
‘The team at Travers Smith are wonderful; thoughtful, responsive and practical.’
Principaux clients
Ares
ICG
Brookfield Oaktree Wealth Solutions
Equistone
Clipway
Pay.UK
RTGS.global
Natwest Group
CLS Bank International
Euroclear UK & International
Principaux dossiers
- Advising Pay.UK on the design and implementation of the New Payments Architecture.
- Advised Clipway on its establishment as a new global GP and strategic investment from Carmignac and General Atlantic.
- Appointed by NatWest Group to conduct an independent investigation into bank account closures by Coutts.
Addleshaw Goddard
Praised for its ‘unmatched depth and quality of advice’, Addleshaw Goddard stands out for its expertise in consumer finance and payments, advising a range of clients including banks and building societies, insurers, fund managers, asset managers and investment platform providers. Rosanna Bryant leads the team and has acted on multiple Consumer Duty implementation projects for banks and building societies, while Steven Francis assists clients in their dealings with regulators and compliance with regulatory requirements. Lorna Finlayson focuses on matters concerning retail investment and James Greig is noted for his expertise in the wholesale financial services sector. ‘Commercial and seasoned regulatory lawyer’ Lisa Lee Lewis joined the team from Norton Rose Fulbright in August 2023, and Tess Kelly joined from the Bank of England in February 2024.
Responsables de la pratique:
Rosanna Bryant
Autres avocats clés:
Steven Francis; Lorna Finlayson; James Greig; Lisa Lee Lewis; Tess Kelly; Ben Koehne
Les références
‘Professional and knowledgeable in all aspects of the FCA/PRA regulation. Flexible approach to communication and available immediately when required.’
‘Client oriented and take a friendly approach.’
‘Lisa Lee Lewis’s team is outstanding. High-quality, technically proficient lawyers and compliance professionals delivering pragmatic and practical solutions.’
Principaux clients
Investec
Reclaim Fund Limited
Yorkshire Building Society
Hampshire Trust Bank
Shawbrook Bank
Klarna
UK Finance
FNZ (UK) Ltd
FBN Bank
Nottingham Building Society
Principaux dossiers
- Advising 10 of the UK’s largest high street banking providers on the creation and launch of Cash Access UK Limited, a new joint venture between our respective clients to support their customers.
- Advised Nationwide Building Society (the Society) on the transfer of its Financial Planning service to Aegon UK.
- Providing advice to banks, asset and wealth managers and building societies on their implementation projects for the requirements of the FCA’s Consumer Duty Rules.
CMS
CMS provides ‘commercial technical advice’ to its client base of wholesale and retail banks, general and life insurers and reinsurers, investment managers, platforms and exchanges, payment service providers and consumer finance. Ash Saluja leads the team and is noted for his expertise in banking and investment business regulation, while ‘excellent’ Angela Greenough handles matters concerning regulated financial services outsourcing. Sam Robinson stands out for his experience in the fintech arena and Pippa Tasker advises on a range of UK and EU regulatory and commercial issues affecting financial services providers. The ‘brilliant’ Joy Davey joined the team from Macfarlanes LLP in June 2023 and Tom Callaby counts US and European investment banks and technology and market data providers among his key roster of clients. Paul Edmondson remains a key contact in the group.
Responsables de la pratique:
Ash Saluja
Autres avocats clés:
Sam Robinson; Pippa Tasker; Angela Greenough; Tom Callaby; Paul Edmondson; Joy Davey; Mike Ringer
Les références
‘The team is knowledgeable in the investment sector and we can rely on CMS to provide commercial technical advice.’
‘Joy Davey is a strategic thinker and was brilliant when facing the other side of the deal on our behalf.’
‘They have industry leading expertise in retail investment platforms and financial technology/infrastructure and migrations between these providers.’
Principaux clients
Visa
Morgan Stanley
MetLife
Aegon Asset Management
Quilter
Columbia Threadneedle
Willis Towers Watson
Phoenix Group
Aviva Investors
American Express
Binance
Fidelity
Lumin Wealth
Moneygram
Copper
Modulr
Chip Financial
Principaux dossiers
- Advised Phoenix on its outsourcing projects with TCS Diligenta, a leading provider of policy administration services in the UK and Europe.
- Advised MetLife to restructure its UK business after Brexit, obtaining PRA authorisations, transferring insurance business and outsourced services.
- Advised NatWest Group, the UK based banking group engaged in retail banking, commercial and private banking, debt financing solutions and transaction management, on its acquisition of a majority shareholding in Cushon, a workplace savings and pensions fintech.
DLA Piper
Praised for its ‘breadth and depth of knowledge’, DLA Piper acts for a range of banks, insurers and other financial institutions on domestic and cross-border matters, from financial services regulatory investigations to transactional work and banking group restructurings. Global co-chair of the firm’s financial services sector practice, Tony Katz leads the team and maintains strong client relationships with global banks and fintech enterprises. Commended as ‘knowledgeable, personable and diligent’, Karen Butler assists clients with regulatory implementation projects involving post-Brexit, MiFID II, EMIR and AIFMD issues, while ‘extremely talented’ Stuart Murdoch acts for clients across the banking, pensions, asset management, general insurance, fintech, private equity and professional services sectors. Michael McKee spearheads the firm’s European financial services regulatory practice, and Puesan Lam is another key contact in the group.
Responsables de la pratique:
Tony Katz
Autres avocats clés:
Karen Butler; Stuart Murdoch; Michael McKee; Puesan Lam
Les références
‘The team’s breadth and depth of knowledge concerning regulatory matters impacting financial services businesses is truly unique.’
‘Stuart Murdoch can tackle financial services issues from all angles. He has a deep understanding of the regulatory requirements, knows when to take a commercial view, and can also predict where issues could led to enforcement or litigation. He is a rare combination of an extremely talented lawyer, a pragmatist, and a great person to work with.’
‘The team have good knowledge of the financial services regulatory environment.’
Principaux clients
Perpetual Limited
Bank Leumi UK PLC
Leumi UK Group Limited
Bank J Safra Sarasin
Principaux dossiers
- Advising Banque Havilland with the various regulatory, corporate and other legal steps required for the closure of its UK branch.
Herbert Smith Freehills LLP
Showcasing demonstrable expertise in investment banking, Herbert Smith Freehills LLP’s ‘highly knowledgeable’ practice handles matters concerning the emerging regulation of digital assets, artificial intelligence, fintech and sustainability in financial services. ‘An asset to the firm’, Marina Reason leads the team and works extensively with investment banks, broker-dealers, private and retail banks and asset managers. Clive Cunningham’s workload includes banking, securities and asset management matters, in addition to advising on the financial services aspects of M&A transactions. Kelesi Blundell, whose ‘attention to detail and service delivery is outstanding’, advises on mandates concerning Brexit, MiFID II and market infrastructure regulation, and is another key contact in the group.
Responsables de la pratique:
Marina Reason
Autres avocats clés:
Clive Cunningham; Kelesi Blundell; Nish Dissanayake
Les références
‘The HSF team are highly knowledgeable and have demonstrated a deep level of thinking on the topics on which we have engaged them. They have a very strong understanding of the practitioner’s mindset and their feedback is always grounded in the practical rather than the abstract.’
‘Kelesi Blundell and Marina Reason are excellent to work with. They are knowledgeable and at the top of their game.’
‘They connect with our business, technological developments and desire to place our customers at the centre of our services and not just provide air cover for our corporate risk. They are a like a third arm or second brain and consummate technicians who are just great people to collaborate with.’
Principaux clients
ClearBank Limited
Tandem Money Limited
Tandem Bank Limited
TSB Bank plc
TP ICAP
The Ardonagh Group
Invesco
Deutsche Bank
Marex
MUFG
Jaime Gilinski
Spaldy Investments Limited
Alpha Bank
Principaux dossiers
- Acted for Mr Gilnski and his investment vehicle, Spaldy Investments Limited, on a majority equity investment in Metro Bank as part of the October 2023 rescue of Metro Bank.
- Advised the Earthshot Prize on regulatory issues around their new digital platform “Launchpad”.
- Advised ASX-listed Link Group on the sale of its UK and Irish funds management business to Waystone Group.
Hogan Lovells International LLP
Praised for its ‘great breadth and depth of industry knowledge and experience’, Hogan Lovells International LLP acts for a broad range of clients, from international banks, asset managers and financial market infrastructure providers to fintech start-ups and payment service providers. Michael Thomas handles mandates concerning UK and EU regulatory perimeter issues, the establishment of new, regulated businesses and market infrastructure, while team leader Jonathan Chertkow ‘provides practical and commercial guidance’ to banks, consumer finance enterprises, payment service providers and fintech clients. Roger Tym is an ‘industry expert in payment services’ and James Black has experience in consumer credit and payments regulation. An ‘industry leader in financial services’, Rachel Kent remains a key contact in the group.
Responsables de la pratique:
Jonathan Chertkow
Autres avocats clés:
Michael Thomas; James Black; Roger Tym; Rachel Kent; Julie Patient; Rita Hunter
Les références
‘Michael Thomas is responsive, efficient and we trust his advice.’
‘James Black is the partner we have dealt with and the service has been excellent, assured, fast and responsive. He is very knowledgeable and solution focused.’
‘Great breadth and depth of industry knowledge and experience.’
‘Rachel Kent is an industry leader in financial services, from both a legal and policy perspective.’
‘Roger Tym has a thoughtful and considered approach. He’s very responsive and highly engaging.’
‘Hogan Lovell’s financial regulatory practice is considered the top practice for financial technology and payment services. Roger Tym is an industry expert in payment services and financial service regulation.’
‘Jonathan Chertkow is very experienced and provides practical and commercial guidance, which facilitate our innovative projects while ensuring compliance with regulatory requirements.’
‘Julie Patient is an experienced retail regulatory lawyer and her deep experience facilitates efficient and timely advice.’
Principaux clients
ALD Automotive
AXA
Bitpanda
Bitstamp
BlackRock
BlockFi
BNP Paribas
BNY Mellon
Checkout Ltd
Citigroup
Clear Junction
Computershare
Co-operative Bank
Credit Karma
Credit Kudos
Curve
Daimler
Ebury
Euronet/Ria
Expedia
Ford
Generation Home
Habito
Hampden and Co
Hampshire Trust Bank
ICBC
Intriva Capital
Invesco
Investec
JaJa
Lendable
Lending works
Livemore Capital
Masthaven Bank Limited
Moneyfold
Monzo
Nationwide
Open Banking Ltd
PayPal
Paysafe
PIMCO
PingPong
Plaid
Prudential
Revolut
Santander
Shopify
Stripe
TheCityUK
The Depository Trust & Clearing Corporation
The Just Group
The London Metal Exchange
The Montreal Exchange Group
Tipalti
Trussle
TSB Bank
UBS AG
UK Finance
VocaLink
Volkswagen
Worldpay
Zopa
Principaux dossiers
- Advised the London Metal Exchange and LME Clear Limited on matters arising out of a situation that took place in the LME nickel market in March 2022 which resulted in the LME suspending the market and cancelling trades that had taken place during the morning of 8 March 2022.
- Acted for a number of high street banks including Barclays, HSBC, Chase, and Monzo on a wide range of product and regulatory issues as well as new product launches.
- Advising on the development of a new embedded finance product to be offered as a new payment option for retailers.
Kirkland & Ellis International LLP
Housing an ‘unrivalled bench of leading partners’, Kirkland & Ellis International LLP counts private equity firms, alternative investment funds, fund managers and investment advisers among its key roster of clients. Practice leader Lisa Cawley’s wide-ranging experience includes handling the financial services regulatory aspects of high-end transactions, while Julia Dixon advises clients on a range of regulatory mandates and compliance with UK and EU regulation. Adam Skinner focuses on regulatory issues arising within the private investment fund sector. Deirdre Haugh is another key contact in the group.
Responsables de la pratique:
Lisa Cawley
Autres avocats clés:
Julia Dixon; Adam Skinner; Deirdre Haugh
Les références
‘Very commercial and responsive.’
‘Adam Skinner is excellent and very responsive.’
‘The strength of this team is that they are solution orientated. Their communication and response time is second to none.’
Principaux clients
Thoma Bravo
TPG Inc.
IK Investment Partners
Clayton, Dubilier & Rice, LLC
General Catalyst
Principaux dossiers
- Advised Thoma Bravo on its sale of Adenza Group to Nasdaq Inc., for USD 10.5 billion.
- Advised TPG on the UK regulatory filings and key UK regulatory considerations around group integration triggered in connection with its USD 2.7 billion acquisition of Angelo Gordon.
- Advising IK Investment Partners on the majority investment by Wendel Group into IK Investment Partners.
Reed Smith LLP
Praised as ‘approachable, knowledgeable and practical’, Reed Smith LLP counts investment banks, retail financial service providers, fund platforms, asset managers and payment service providers among its key roster of clients, with demonstrable capability in handling multi-jurisdictional mandates. David Calligan handles a broad range of compliance matters including the regulatory aspects of financial services M&A transactions, while Chris Borg advises on commodity trading, futures and options mandates. Borg jointly leads the team alongside Claude Brown, who focuses on work concerning ESG and fintech. Romin Dabir, who assists both sell-side and buy-side clients with a range of financial services regulatory issues, is another key contact in the group.
Responsables de la pratique:
Chris Borg; Claude Brown
Autres avocats clés:
David Calligan; Romin Dabir; Brett Hillis
Les références
‘The team are extremely capable. They know their information inside out and are extremely approachable.’
‘They are approachable, knowledgeable and practical.’
‘David Calligan’s expertise and insights were invaluable to the success of our project. His approach was both professional and insightful. It was evident that he brought a wealth of experience and knowledge to the table, which gave us confidence in the decisions we were making.’
Baker McKenzie
Noted for its expertise in the fintech arena, Baker McKenzie handles M&A involving financial institutions, in addition to mandates concerning derivatives, ESG and post-Brexit, and is well-placed to leverage the firm’s global footprint on cross-border matters. Mark Simpson leads the team and acts for payment and e-money institutions, asset and wealth managers, cryptoasset enterprises, consumer lenders, banks and insurers, with considerable experience in handling fintech mandates. Caitlin McErlane advises on regulatory implementation projects, day-to-day compliance issues, and the financial services regulatory aspects of transactions.
Responsables de la pratique:
Mark Simpson
Autres avocats clés:
Caitlin McErlane; Sarah Williams; Shaneil Shah
Les références
‘Mark Simpson and Sarah Williams are very knowledgeable and always available, which is much appreciated.’
‘The team is extremely commercial, knowledgeable, pragmatic, professional and responsive.’
‘Caitlin McErlane and Shaneil Shah are truly excellent. They know our business and give advice tailored to what we do and what our risk appetite is. Caitlin and Shaneil are incredibly knowledgeable, responsive, professional, and wonderful to work with.’
Bryan Cave Leighton Paisner
Bryan Cave Leighton Paisner showcases ‘impressive expertise’ in the retail and wholesale sectors, counting banks, asset managers, insurance and reinsurance companies, payment services and currency exchange platforms among its key roster of clients. Praised for his ‘thorough and detailed knowledge’, Matthew Baker handles investment management mandates, in addition to the financial services regulatory aspects of M&A transactions. Providing ‘rigour and depth in her technical legal advice’, practice leader Polly James is another key contact in the team, alongside Joanna Munro.
Responsables de la pratique:
Polly James
Autres avocats clés:
Matthew Baker; Joanna Munro
Les références
‘Extensive industry sector knowledge, advice is given in a commercial and effective manner, and the team are proactive and readily available to offer advice even at short notice.’
‘Matthew Baker is extremely personable, a clear communicator, and provides concise advice and expertise.’
‘Polly James is an excellent lawyer who provides sound advice.’
Principaux clients
LXI REIT
Dechert LLP
Led by Gus Black, the ‘organised, approachable and knowledgeable team’ at Dechert LLP acts for leading asset managers on buy-side regulatory mandates, with additional expertise in matters concerning FCA regulation and ESG. Karen Anderberg acts for asset managers and investment funds across Europe, Asia and the US on a range of financial services regulatory issues, while Katie Carter advises clients on compliance with AIFMD, MiFID II and the impact of Brexit, among others. Praised as ‘excellent in their respective fields’, Karen Stretch and Mikhaelle Schiappacasse are also key contacts in the group.
Responsables de la pratique:
Gus Black
Autres avocats clés:
Karen Anderberg; Katie Carter; Karen Stretch; Mikhaelle Schiappacasse
Les références
‘The team are very responsive and creative in their approach to problem solving.’
‘They give practical advice and are available when we need them.’
‘Knowledgeable, practical and complete understanding of the interplay between FCA and SEC requirements.’
Dentons
Well-placed to leverage the firm’s global footprint on multi-jurisdictional mandates, the regulation and investigations team at Dentons counts global banks and the banking arms of major retailers among its key roster of clients. Greg McEneny focuses on matters concerning regulatory permissions and cross-border licensing requirements, in addition to the implementation, compliance and governance of regulations including MiFID and the Consumer Duty. McEneny jointly leads the team alongside Katharine Harle, and other key contacts include Adrian Yeo and Jessica Cooke.
Responsables de la pratique:
Greg McEneny; Katharine Harle
Autres avocats clés:
Adrian Yeo; Jessica Cooke
Les références
‘Exceptional partners.’
‘Adrian Yeo takes the time to provide excellent advice in a clear and concise way to support our work. He always makes himself available to discuss areas of policy and lean on his expertise, often at short notice.’
Principaux clients
Liontrust Asset Management
Deutsche Bank
Financial Services Compensation Scheme
Marks and Spencer
Financial Conduct Authority
Principaux dossiers
- Advising London-listed fund management group, Liontrust Asset Management, on its proposed £96 million takeover of the Swiss listed investment management group, GAM Holding.
- Advising Deutsche Bank and the Arab Banking Corporation on the insurance policy issued by the Arab Investment and Export Credit Guarantee Corporation (Dhaman) covering a $500 million 7-year international commercial loan to the Arab Republic of Egypt.
- Advising the FSCS on a wide range of topics to support its understanding of what business activities fall within the scope of the COMP chapter of the FCA Handbook and in relation to various special administration and administrative procedures.
Eversheds Sutherland (International) LLP
The ‘highly responsive’ team at Eversheds Sutherland (International) LLP handles a broad range of mandates concerning UCITS, AIFMD, MiFID and SFDR, in addition to advising on the application of the FCA’s Consumer Duty. Michaela Walker leads the practice and counts asset managers, securities services providers and banks among her key roster of clients, while ‘excellent partner’ Phil Spyropoulos advises on regulatory projects involving the implementation of the EU’s SFDR, CSRD and early adopters of SDR. Based in Edinburgh, Sarah Burnside focuses on ESG, AIFMD and MiFID II, and Tim Fosh joined the team from Slaughter and May in March 2024, boosting the firm’s expertise in fintech, and the regulation of crypto and digital assets.
Responsables de la pratique:
Michaela Walker
Autres avocats clés:
Phil Spyropoulos; Sarah Burnside; Tim Fosh; Julian Brown; Hannah Jones
Les références
‘Highly responsive, sound legal advice: this practice takes the time to get to know our business and assess regulatory impact accordingly, offering tailored solutions to regulatory changes.’
‘We value the firm’s personal approach: making partners and associates available to come to our offices to discuss regulatory changes and educate our staff in person. Julian Brown, Phil Spyropoulos and Hannah Jones have formed a strong professional relationship with us.’
‘Great professional team who know their area extremely well, are friendly and approachable with great insights into the broader market.’
Fox Williams LLP
The ‘approachable, responsive and commercial’ team at Fox Williams LLP counts banks, asset managers, insurers and reinsurers, investment firms, cryptocurrency exchanges, payment businesses and electronic money issuers among its key roster of clients. Praised as ‘professional and thorough, yet practical and commercial’, practice leader Chris Finney handles the full range of regulatory mandates, with a particular focus on fintech work. ‘Invaluable adviser’ Peter Finch specialises in matters concerning payment services, consumer credit and mortgages, while Mardi MacGregor, who is commended as ‘efficient, courteous, clear and highly proficient’, is another key contact in the group.
Responsables de la pratique:
Chris Finney; Sona Ganatra
Autres avocats clés:
Peter Finch; Mardi MacGregor
Les références
‘Approachable, responsive and commercial.’
‘Peter Finch is responsive, skilled and an invaluable adviser.’
‘Chris Finney is professional and thorough, yet practical and commercial, focused on the client’s immediate needs.’
Macfarlanes LLP
Counting institutional asset managers and hedge funds among its key roster of clients, Macfarlanes LLP handles a range of mandates, from advice concerning Consumer Duty and regulatory restructurings to the drafting and implementation of outsourcing projects, in addition to the financial services regulatory aspects of transactions. Alexandra Green stands out for her expertise in the retail wealth management arena, and jointly leads the practice alongside Michael Sholem, who focuses on matters involving alternative investment managers. Rachael Preston is another key contact in the group.
Responsables de la pratique:
Alexandra Green; Michael Sholem
Autres avocats clés:
Rachael Preston
Les références
‘The Macfarlanes team are excellent in the field of regulatory practice. They combine excellent knowledge of laws and regulations, including the EU framework, with excellent knowledge of market practice and regulatory approaches. They focus on thoroughly understanding the client and its business, which is critical to navigate matters that are complex from a legal and practical point of view. These capabilities and approach translate into highly practical advice and guidance. They have a down to earth approach and they are fun to work with. They offer real value for money, with hourly rates that compare favourably to those of various peers, and with highly efficient and effective staffing of matters.’
‘Alexandra Green is as modest as she is outstanding. Exceptionally knowledgeable in the regulatory arena with respect to the law, market practice and regulatory views and risks. Alexandra really understands the client, its dynamics and its business. Analytically very strong, highly practical and always offering solutions. Excellent and efficient staffing of her very responsive teams, always ensuring she is abreast of anything necessary. Exceptional dedication to her client, and a very pleasant person to work with. More than worth her invoices.’
Principaux clients
Investec Group
Link Fund Solutions Limited
Seven Investment Management
Premier Miton
Wendel SE
Partners Capital Investment Group
Troy Asset Management Limited
Principaux dossiers
- Advised Investecon an all-share combination of Investec W&I UK and Rathbones Group plc.
- Advised LFSL on the sale and transfer of its UK authorised funds to Waystone Management (UK) Limited in order to finance £235 million of redress for Woodford Equity Income Fund investors.
- Advised 7IM on a stake sale to Ontario Teachers’ Pension Plan Board and its acquisition of Amicus Wealth and Eastcote Wealth Management.
Mayer Brown International LLP
Praised for its ‘breadth of financial services knowledge’, Mayer Brown International LLP acts for global banks, insurance and reinsurance companies, and fintech enterprises on a range of domestic and cross-border regulatory matters. Key contacts in the group include practice leader Chris Chapman, who handles mandates concerning regulatory and law enforcement authorities, and Musonda Kapotwe, who advises on the impact of UK financial services regulation on banking, capital markets and derivative transactions.
Responsables de la pratique:
Chris Chapman
Autres avocats clés:
Musonda Kapotwe
Les références
‘Breadth of financial services knowledge across multiple jurisdictions.’
‘Chris Chapman is fantastic.’
‘Always make themselves available to respond to your queries, however busy they might be.’
Paul Hastings LLP
The team at Paul Hastings LLP handles a broad range of matters, from SFDR, AIFMD, Taxonomy Regulation and MiFID II compliance to ESG affairs and the financial services regulatory aspects of multi-jurisdictional M&A transactions. Practice leader Arun Srivastava showcases demonstrable experience in fintech arena, in addition to advising clients on cross-border product and services offerings across the EU. Other key contacts in the group include Nina Moffatt and Konstantin Burkov, who acts for EU and US clients on new EU sustainability initiatives, including the SFDR and Taxonomy Regulation, MiFID II and AIFMD.
Responsables de la pratique:
Arun Srivastava
Autres avocats clés:
Nina Moffatt; Konstantin Burkov
Principaux clients
Accenture
American Express
Fidelity
GTCR
Sirius Point
Waverton Investment Management
Principaux dossiers
- Acted on the sale of the Co-operative Bank by Coventry Building Society in a £780m deal, advising on the regulatory aspects of this deal, including interactions with the PRA and FCA.
- Advised GTCR as regulatory counsel in its acquisition of a majority stake in Worldplay, a leading global provider of payment processing solutions, from FIS.
- Advised a number of UK, EU and non-EEA asset and fund managers on the European Union’s Sustainable Finance Disclosure Regulation and Taxonomy Regulation.
Pinsent Masons LLP
‘A solid team with impressive industry experience’, Pinsent Masons LLP’s multi-disciplinary practice acts for a range of clients, including high-street banks, investment firms, asset managers, insurance companies and wealth managers, among others. Elizabeth Budd maintains a strong focus in the investment management sector, advising asset managers, fund managers, fund distributors including platforms, wealth managers and insurance companies on UK and EU regulatory mandates. Other key contacts in the group include Andrew Barber, who leads the firm’s consumer finance and payments practice, team head Colin Read and David Heffron.
Responsables de la pratique:
Colin Read
Autres avocats clés:
Elizabeth Budd; Andrew Barber; David Heffron
Les références
‘A solid team with impressive industry experience. Nothing is too much trouble and they are responsive when help is needed.’
‘David Heffron is able to provide practical guidance in difficult situations.’
‘A good law firm that is able to deliver solutions.’
Principaux clients
NatWest Group
Lloyds Banking Group
Aegon UK PLC
Scottish Widows
Aberdeen Standard Investments
Railpen Investments
EdenTree
Post Office Limited
Phoenix Standard Life
HSBC
Principaux dossiers
- Advised global investment company, abrdn, on the auction sale of its discretionary fund management business, abrdn Capital, to LGT Wealth Management.
- Advising Aegon, the integrated, diversified, international financial services group, on the sale of its UK individual protection line of business to Royal London.
- Advising AIM-listed STM Group plc, a multi-jurisdictional financial services group, which provides independent fiduciary services and asset structuring to high-net-worth individuals and corporate institutions, on its recommended acquisition by Jambo SRC Limited.
Sidley Austin LLP
Praised for its ‘encyclopedic knowledge’, Sidley Austin LLP regularly advises on a range of mandates concerning UK/EU securitisation regulation, investment funds, payment services, consumer credit and mortgage regulation, in addition to anti-money laundering and financial sanctions compliance. ‘Highly personable and respected across the industry’, Leonard Ng leads the team and advises global financial institutions on Brexit, crypto-assets, sustainable finance and ESG regulation. Max Savoie delivers ‘highly commercial, pragmatic and tailored’ advice on matters concerning UK and EU payment services regulation.
Responsables de la pratique:
Leonard Ng
Autres avocats clés:
Max Savoie; Rachpal Thind; Martin Dowdall
Les références
‘Leonard Ng and the team’s advice is to the point, succinct, practical and relevant. They have a good depth of knowledge of industry practices as well as the regulatory requirements and are able to assist with any issues quickly, meaningfully and professionally.’
‘Leonard Ng is a star. A rare and talented individual, who provides real solutions as he has deep industry knowledge and how entities work.’
‘Aside from their encyclopedic knowledge, Leonard Ng and his team have a level of practical experience and market insight that is unrivalled. When seeking advice, we not only get chapter and verse on the rules, we also get a sense of what the regulator expects and practical, actionable advice based on our unique circumstances.’
Principaux clients
Galvanize Climate Solutions LLC
AlbaCore Capital LLP
Athora Holding Ltd.
Apollo Global Management
Citadel Group
Deutsche Ban
D.E. Shaw Group
Pinebridge Investments Europe Limited
Managed Funds Association
White & Case LLP
Counting global banks, investment firms, asset managers, technology companies and payment services providers among its key roster of clients, White & Case LLP’s workload encompasses banking regulatory mandates, FCA and PRA supervision cases, funds regulation and structuring, in addition matters concerning payment services and investment platforms. Jonathan Rogers leads the practice and focuses on banking regulation, large-scale technology transaction projects, fund structuring issues and fintech matters. Kristen DiLemmo advises on MiFID II, AIFMD, EMIR and payment services regulation, and Laura Kitchen is another key contact in the group.
Responsables de la pratique:
Jonathan Rogers
Autres avocats clés:
Kristen DiLemmo; Laura Kitchen
Principaux clients
Crédit Agricole
Saudi Central Bank
Meta
LHV Bank
Regional Voluntary Carbon Markets Company
UK Finance
Eurazeo S.E.
LGT Group
Fintech Growth Fund
Sustainable Markets Initiative
Akin
Praised for its ‘excellent expertise and responsiveness’, Akin acts for leading investment managers on a broad range of mandates concerning MiFID II, AIFMD, the Market Abuse Regulation and EMIR, in addition to SFDR and the Taxonomy Regulation. ‘An expert in the field’, Ezra Zahabi leads the team and advises on regulatory compliance, fund structuring, market abuse and market conduct matters. Suley Siddiqui is another key contact in the group.
Responsables de la pratique:
Ezra Zahabi
Autres avocats clés:
Suley Siddiqui
Les références
‘Excellent expertise and responsiveness for UK and cross-border issues.’
‘Ezra Zahabi is an expert in her field, extremely commercial and responsive.’
‘They are knowledgeable in all legal and compliance facets.’
Charles Russell Speechlys LLP
Commended for its ‘unparalleled knowledge’, Charles Russell Speechlys LLP is noted for its expertise in the private banking, wealth management and private funds sectors, in addition to advising on the structuring, establishment and distribution of financial products and services provided by private wealth institutions. Practice leader William Garner, who ‘combines deep expertise with a strong commercial awareness’, focuses on the establishment, operation and regulation of brokerage firms, trading platforms and asset and investment managers. Richard Ellis rejoined the team from McDonnell Ellis LLP in February 2024.
Responsables de la pratique:
William Garner
Autres avocats clés:
Richard Ellis; Victoria Younghusband; Charlie Ring; Erica Licchelli
Les références
‘Excellence is all areas of financial services.’
‘William Garner is a modern day rainmaker.’
‘William Garner combines deep expertise with a strong commercial awareness. He has the ability to explain complex legal concepts in an easy to understand way.’
Principaux clients
EFG Private Bank
FairXchange Limited
FIL Investment Services (UK) Limited
Coinbase
C Hoare & Co.
LGT Vestra
LiquidNet
Pebble Capital
Credit Suisse
Waverton Investment Management
Principaux dossiers
- Providing ongoing advice to Currencies Direct across multiple disciplines, all of which tie in with FCA requirements.
- Assisted Digital Vega FX to setup both MTF and OTC trading platforms for FX options.
- Assisted the UK/US client to setup a new trading venue (Swap Execution Facility) in New York with brokerage arms in both London and New York and have helped them navigate the US/UK FS regulatory issues and decide which jurisdiction in which to set up the trading platform.
Fieldfisher
Fieldfisher is noted for its expertise in wholesale markets regulation, particularly relating to derivative products, in addition to payment services and fintech, and equity financings, sales and purchases of regulated financial services. Praised for his ‘strong breadth of knowledgeable’, practice leader Simon Lafferty focuses on regulation concerning retail and wholesale banks, investment business, asset and investment managers, and e-money and payment services providers. Other key contacts include Steven Burrows, a ‘first-rate derivatives and securities lawyer’.
Responsables de la pratique:
Simon Lafferty
Autres avocats clés:
Steven Burrows
Les références
‘The team has excellent financial services regulatory knowledge, with industry and a wide variety of professional experience in the team. The communication is always clear and timely.’
‘Simon Lafferty has a strong breadth of knowledgeable, clearly with some industry leading specialism. He is amiable and a good communicator. All these skills make him an excellent director and relationship entry point into the firm.’
‘Steven Burrows is a first-rate derivatives and securities lawyer. Easily understands business requirements and contributes valuably to the end results. It is rare to find someone with such skills, experience and humility.’
Principaux clients
J.P. Morgan SE, Luxembourg branch
BNF Bank PLC, London branch
Birmingham Bank Limited
RSM UK Corporate Finance LLP
Currencies Direct Limited
Bosch Thermotechnology
Stenn International Limited
Principaux dossiers
- Advised a number of counter-parties on the consequences of the failure of Silicon Valley Bank UK.
Fried, Frank, Harris, Shriver & Jacobson LLP
The ‘stellar team’ at Fried, Frank, Harris, Shriver & Jacobson LLP advises international fund managers on European private funds regulation, in addition to the regulatory aspects of corporate transactions, financial promotions, senior manager arrangements and FCA authorisations. Gregg Beechey, who ‘stands out for his knowledge and practical advice’, leads the team and advises private funds on the full range of UK, EU and US regulatory issues. Zac Mellor-Clark was promoted to partner in March 2024 and is noted for his expertise in matters concerning AIFMD, while Nishkaam Paul assists asset managers with navigating European financial services regulation.
Responsables de la pratique:
Gregg Beechey
Autres avocats clés:
Zac Mellor-Clark; Nishkaam Paul
Les références
‘The team is unique for their commercial approach and well-rounded team full of knowledgeable partners, special counsel and associates. The training that is provided to associates must be outstanding because they all have that special mix of providing top legal advice while remaining pragmatic and commercial.’
‘Quick response times and impressive breadth of knowledge.’
‘Gregg Beechey stands out for his knowledge and practical advice.’
Principaux clients
Accel
APG
Arcmont Asset Management
Aztiq
Bain Capital
Balderton Capital (UK) LLP
BlackRock
BlueBay Asset Management
Brookfield Asset Management
Cairngorm Capital
Cambridge Innovation Capital
CataCap
Cerberus Capital Management
Christofferson Robb
Copenhagen Infrastructure Partners
Corten Capital
Crescent Capital Europe
CVC Credit Partners
Danske Private Equity
FSN Capital
Goldman Sachs
Schroders Greencoat
HSBC Asset Management
Intermediate Capital Group
iCON Infrastructure
Investec Bank PLC
Kennet Partners
Morgan Stanley
Neuberger Berman
Norvestor Equity
Oakley Capital
Palatine Private Equity
Partners Group
Permira
Pioneer Point Partners
Quilvest Capital Partners
Vision Capital
Vitol SA
Principaux dossiers
- Advised BlackRock on the regulatory aspects of the acquisition and integration of a £100bn+ global asset management business by and into its existing business, in a systemically significant US$12billion transaction.
- Acted as regulatory counsel to Goldman Sachs on the launch of its debut European Long Term Investment Fund.
- Advising CVC Credit on the establishment of its flagship open-ended semi-liquid retail credit fund, expected to launch later this year and structured as a Luxembourg UCI Part II Fund.
Gibson, Dunn & Crutcher
Counting investment banks, wealth managers, insurers, cryptoasset companies, payment services providers and fintech enterprises among its key roster of clients, Gibson, Dunn & Crutcher handles the financial services regulatory aspects of M&A and private equity transactions, in addition to matters concerning funds regulation. Practice leader Michelle Kirschner acts for fintech ventures on perimeter issues, as well as market abuse mandates, conduct of business and regulatory change management, including MiFID II, MAR and SM&CR. Martin Coombes is another key contact in the group.
Responsables de la pratique:
Michelle Kirschner
Autres avocats clés:
Martin Coombes
Principaux clients
Pay.UK
NEOM
Mastercard
FISERV
FIS
Worldpay
Meta
Amazon
Investcorp
K&L Gates LLP
Praised for its ‘excellent technical knowledge of the UK and EU regulations’, the asset management and investment funds practice at K&L Gates LLP advises on matters concerning AIFMD, MiFID II, EMIR, Brexit and ESG, and is noted for its capability in handling pan-European and transatlantic mandates. Following the departure of former team leader Michelle Moran in May 2024, key contacts in the group include Philip Morgan, Andrew Massey and Kai Zhang.
Responsables de la pratique:
Michael Caccese
Autres avocats clés:
Philip Morgan; Andrew Massey; Kai Zhang
Les références
‘The K&L Gates team provides practical, business-focused advice.’
‘Philip Morgan and Kai Zhang provide excellent advice and come up with solutions that navigate the regulations and advance the business. They also keep up to date on upcoming regulatory developments which are key for growing a business.’
‘Excellent technical knowledge of the UK and EU regulations.’
Principaux clients
Balderton Capital
Dimensional Fund Advisors
Federated Hermes
First Sentier Investors
Manulife Investment Management (Europe)
Principal Financial Group
Southeastern Asset Management
Principaux dossiers
- Assisting Balderton Capital (UK) LLP with UK financial services regulatory due diligence in connection with the client’s €60 million equity financing of Scalable Capital.
- Representing Manulife Investment Management as its lead European regulatory counsel.
- Representing Federated Hermes on the full range of regulatory matters, from large-scale projects to miscellaneous or day-to-day regulatory questions.
Katten Muchin Rosenman
The ‘remarkably business-minded‘ team at Katten Muchin Rosenman counts exchanges, clearing houses, broker-dealers, proprietary trading firms, investment funds and asset managers among its key roster of clients, and is well-placed to handle regulatory and cross-border transactional matters. Neil Robson jointly leads the team alongside ‘highly recommended’ Carolyn Jackson, who advises clients in the OTC derivatives, futures and securities markets on regulatory and compliance mandates, and Nathaniel Lalone, who offers cross-border advice to market infrastructures.
Responsables de la pratique:
Neil Robson; Carolyn Jackson; Nathaniel Lalone
Les références
‘Consistently providing pragmatic, bespoke advice with EU and US overlapping angles. Remarkably business-minded.’
‘Carolyn Jackson is highly recommended, qualified for US and UK/EU law.’
Morgan, Lewis & Bockius UK LLP
Praised for its ‘unwavering dedication, unparalleled expertise and a commitment to achieving exceptional results for their clients’, Morgan, Lewis & Bockius UK LLP acts for domestic and global financial services organisations on a range of financial regulatory issues affecting their UK and global operations. Simon Currie, whose ‘financial services regulatory expertise is simply superb’, leads the team and advises on matters arising from the asset management sector, while ‘highly collaborative’ William Yonge counts mandates concerning ESG and sustainable finance regulation in his workload. Steven Lightstone, who ‘provides commercially focused advice’, is another key contact in the group.
Responsables de la pratique:
Simon Currie
Autres avocats clés:
William Yonge; Steven Lightstone
Les références
‘The team are outstanding lawyers. They have been instrumental in providing us with guidance on accessing both the UK and EU markets for cross-border fund distribution. They are very thoughtful yet commercial in the advice they provide.’
‘William Yonge is highly responsive, and I can always reach him when there is an urgent need. He has strong expertise in his area and is highly collaborative. I trust his advice.’
‘This practice stands out for its exceptional blend of legal expertise, client-centric approach, and innovative strategies. Their strengths lie not just in legal prowess but also in fostering diversity, embracing cutting-edge technology for efficient solutions, and fostering collaborative environments that elevate client outcomes.’
Principaux clients
Funderbeam Markets Limited
Lincoln Peak Capital Management LLC
Principaux dossiers
- Advised Funderbeam on its $40 million investment by VentureWave from a corporate and regulatory perspective.
- Represented Lincoln Peak Capital in its minority investment in Troy, assisting with due diligence on Troy from a UK regulatory perspective, reviewing and updating the transaction documents and advising on and completing the necessary controller related filings for each new controller within the Lincoln Peak group with FCA and approvals from FCA.
Orrick, Herrington & Sutcliffe (UK) LLP
The ‘extremely agile and highly reliable team’ at Orrick, Herrington & Sutcliffe (UK) LLP is noted for its robust transatlantic payments and fintech offering, with demonstrable experience in handling IPOs, asset and sale purchases involving regulated financial services clients. ‘Consistently helpful, engaged and solutions-orientated‘, fintech expert Dan Jones leads the practice and counts retail and investment banks, asset managers, e-money issuers and payments services providers, crypto-asset issuers, wallets and exchanges among his key roster of clients. Rebecca James and Guy Stevenson are also key contacts in the group.
Responsables de la pratique:
Dan Jones
Autres avocats clés:
Rebecca James; Guy Stevenson
Les références
‘Practical, timely and straightforward legal advice.’
‘Dan Jones is consistently helpful, engaged and solutions-orientated when solving AML, payments and client resourcing issues.’
‘Dan Jones and Guy Stevenson are great to work with, guiding us through the European landscape.’
Principaux clients
AlphaFX
Ego Death Capital
FastSpring
Gateway Lab Inc.
Griffin Bank
Marriott Inc.
NerdWallet
Onafriq
Paysend Ltd.
PNC Bank
Plim Limited
Rapyd Payments Ltd
TerraPay Holdings Limited
Wirex Limited
Principaux dossiers
- Supported Alpha FX with regulatory due diligence on a potential trading partner, which involved advising on regulation applicable to the trading partner’s business operating model and practical steps to be taken to meet due diligence obligations.
- Supported global digital payment processing platform FastSpring with an analysis of the application of PSD2 to FastSpring’s business model and guidance on regulatory communications in relevant jurisdictions.
- Providing ongoing regulatory counsel to Onafriq, a global payment services provider with one of the largest client bases for payment services across the African continent.
RPC
RPC showcases ‘impressive expertise and knowledge’ of insurance regulatory mandates, with key clients including insurers, brokers and MGAs, in addition to retail banks, credit card issuers, short term lenders and asset finance providers. Matthew Griffith leads the team and focuses on insurance regulatory matters, as well as post-Brexit issues, while Whitney Simpson is noted for her expertise in the payment services and consumer credit sectors. Jonathan Charwat is another key contact in the group.
Responsables de la pratique:
Matthew Griffith
Autres avocats clés:
Whitney Simpson; Jonathan Charwat
Les références
‘Impressive expertise and knowledge of the market. Housing a team of good and friendly individuals, who always work towards finding a solution best fit for client.’
‘Excellent understanding of the insurance sector.’
Principaux clients
LINK Scheme
Frasers Group
Integra
Inigo
Hiscox
Fidelis
Lifetime Pet Cover Limited
Principaux dossiers
- Advising Endurance (Sompo) and other insurers and brokers on large scale consumer duty implementation and compliance projects including training and assisting with updating internal systems, controls/policies, customer documentation and contracts with third parties.
- Advised London Innovation Underwriters Limited in connection with its proposed IPO on the main market of the London Stock Exchange.
- Advising LINK Scheme, the UK payment system, on general advisory matters in relation to commercial, tech, outsourcing, regulatory, payment systems, data, competition, restructuring and insolvency, litigation and public law.
Taylor Wessing LLP
Taylor Wessing LLP ‘combines technical knowledge with commercial expertise’ to advise on financial services and fintech regulatory mandates, particularly matters concerning payment services, cryptoassets, consumer lending, wealth management and banking. The practice is also noted for its experience advising on the implementation of regulatory change and disruptive projects driven by technology. Charlotte Hill leads the team and Charlotte Witherington joined from Freshfields Bruckhaus Deringer LLP in February 2024. Praised as a ‘consummate regulatory professional with an incredible eye for detail’, Mila Pencheva is another key contact in the group.
Responsables de la pratique:
Charlotte Hill
Autres avocats clés:
Charlotte Witherington; Mila Pencheva
Les références
‘Professional and competent, with a wide range of expertise.’
‘The team provides great legal advice, are very professional and friendly. Pleasant to work with.’
‘Mila Pencheva is a consummate regulatory professional with an incredible eye for detail. Quick to understand and contextualise very particular and unusual aspects of products and services.’
Burges Salmon LLP
Burges Salmon LLP showcases ‘real depth of knowledge and experience’ in matters concerning investment funds, wealth management, insurance regulation, unregulated funds and regulated lending, fintech and employment-related financial services regulation. Praised as a ‘valuable and trusted adviser’, Tom Dunn leads the team and Martin Cook spearheads the firm’s fintech practice. Anna Davis, who ‘has a talent for explaining intricate regulatory issues and translates them into actionable advice’, is another key contact in the group.
Responsables de la pratique:
Tom Dunn
Autres avocats clés:
Martin Cook; Anna Davis
Les références
‘The team has the knowledge and experience to respond quickly and practically to our business needs.’
‘Anna Davis has a talent for explaining intricate regulatory issues and translates them into actionable advice tailored to the business needs.’
‘Burges Salmon’s strength in depth across a variety of disciplines really stands out.’
Principaux clients
St. James’s Place
The Financial Services Compensation Scheme
Saltus Partners
Mainspring
Embark
The Shepherds Friendly Society Limited
Seccl
Border to Coast Pensions Partnership Limited
The Wales Pension Partnership
Premier Miton
FundRock Partners Limited
Carne Global Fund Managers (UK) Limited
Ecclesiastical Insurance Group
Principaux dossiers
- Advised Saltus, an advice, DFM platform and fund management group, on its sale of a majority stake to Preservation Capital Partners.
- Advising Shepherds Friendly on significant proposition developments including with the innovative insurtech company, Bluezone.
- Advised Mainspring, a fund administration house and investment platform, on its sale to Apex.
Debevoise & Plimpton LLP
Commended for its ‘tremendous technical expertise coupled with unbeatable market knowledge’, Debevoise & Plimpton LLP advises on insurance regulatory matters, with additional experience in handling mandates concerning AIFMD, SFDR and MiFID. Clare Swirski advises multinational insurers on regulatory developments and transactions, and jointly leads the team alongside Patricia Volhard, who acts for private funds on matters including Brexit, AIFMD, MiFID and ESG. Volhard splits her time between the firm’s London, Paris and Frankfurt offices.
Responsables de la pratique:
Patricia Volhard; Clare Swirski
Autres avocats clés:
John Young
Les références
‘Excellent team. For private equity clients, the financial services regulatory team is streets ahead of any other practice in London. Tremendous technical expertise coupled with unbeatable market knowledge.’
‘Patricia Volhard is the best funds regulatory lawyer in Europe.’
‘Very strong financial services regulatory practice, with particular strengths in insurance and bank regulation. One of the very few firms to have real transatlantic strength and depth.’
Principaux clients
HarbourVest Partners
LCM Capital
KKR
Global Atlantic Financial Group Limited
AXA
AIG
AIG Life
Covéa
Caisse de dépôt et placement du Québec
Brookfield Reinsurance
Principaux dossiers
- Advising on numerous aspects of EU Sustainable Finance Disclosure Regulation (SFDR) in the context of various HarbourVest fund strategies.
- Advising on SFDR to LCM Partners in the context of raising a new fund and associated managed accounts.
Farrer & Co
Praised for its ‘excellence in all areas of financial services’, Farrer & Co is noted for its expertise in the private banking and asset management arenas, advising on a range of matters concerning conduct of business, financial promotion, governance and ongoing compliance with regulatory developments. ‘The strongest and most empathetic of leaders’, Grania Baird advises on a myriad of regulatory mandates in the private banking and payments, wealth and asset management sectors, while Andy Peterkin focuses on the financial services regulatory aspects of corporate transactions. Jessica Reed is another key contact in the group.
Responsables de la pratique:
Grania Baird
Autres avocats clés:
Andy Peterkin; Jessica Reed; Nandini Sur
Les références
‘Excellence in all areas of financial services.’
‘Grania Baird is the strongest and most empathetic of leaders.’
‘A proactive team, working closely together to provide the right support and advice. They take the time to fully understand the requirements and then confirm these to ensure all parties collaborate effectively.’
Principaux dossiers
- Advised Canaccord Genuity Wealth Management in the UK & Crown Dependencies on its entry into an agreement to acquire Scottish financial planning business, Intelligent Capital.
Gowling WLG
Housing a team of ‘exceptional advisers who are accessible, responsive and collaborative’, Gowling WLG acts for a range of clients, from investment houses, asset managers and broker dealers to banks, building societies, insurers, pension trustees and fintech enterprises. Key contacts in the group include practice leader Kristian Rogers, Kam Dhillon and Sushil Kuner.
Responsables de la pratique:
Kristian Rogers
Autres avocats clés:
Kam Dhillon; Sushil Kuner
Les références
‘Gowlings’s financial services regulatory team are exceptionally well-versed in the full spectrum of financial services, both wholesale and retail.’
‘The team at Gowling are exceptional advisers who are accessible, responsive and collaborative, in addition to their expertise in financial services.’
‘Sushil Kuner is an impressive practitioner. She is naturally intelligent and has commercial acumen, backed up by extensive experience working at the enforcement division of the FCA.’
Principaux clients
Development Guarantee Group
Oikocredit Ecumenical Development Cooperative Society u.a.
Vistry Group
Molten Ventures Plc
Evolution Funding Group Limited
Sanctuary Housing Association
H&T Group Plc
Principaux dossiers
- Advised Development Guarantee Group on the structure and launch of the world’s first climate-focused guarantee company, which will provide $1 billion in climate finance for developing countries.
- Advised Molten Ventures Plc in respect of its acquisition of London LSE-listed Venture Capital firm Forward Partners Group Plc in a deal valued at £41.4 million.
- Advised independent motor finance brokerage and technology provider Evolution Funding Group Limited on its acquisition of motor finance FinTech broker Motion Finance in June 2023, following which we supported the shareholders of Evolution in relation to its acquisition by European Technology Fund Carlyle Europe Technology Partners.
McDonnell Ellis LLP
Praised for its ‘in-depth and highly responsive service’, specialist financial services firm McDonnell Ellis LLP acts for a range of clients, from banks and asset managers to fintechs, payment service and crypto firms. ‘Playing a pivotal role in advancing the firm’s mission and reputation’, Brian McDonnell leads the team and handles a broad range of mandates, from regulatory perimeter issues and funds structuring to payment services regulation and cryptoassets, among others. ‘Experienced’ David Ellis advises on matters concerning regulatory capital, client money and derivatives.
Responsables de la pratique:
Brian McDonnell
Autres avocats clés:
David Ellis
Les références
‘Quick responses, technically competent and very approachable.’
‘Brian McDonnell and David Ellis provide an amazing service with a unique focus on financial services and regulated activity. Due to their chosen specialty, McDonnell Ellis can provide a more in-depth and highly responsive service.’
‘Both Brian McDonnell and David Ellis are exceptionally responsive and engaged. We have had the pleasure of working with McDonnell Ellis on several occasions; the experience has always been elegant and timely, allowing the underlying client to get back to the business of running their firm.’
Proskauer Rose LLP
Counting private asset managers, including private funds, hedge funds and portfolio managers, among its key roster of clients, Proskauer Rose LLP handles a range of matters concerning AIFMD, ESG, the impact of securitisation regulation on sovereign wealth funds, post-Brexit and fintech. Practice leader and private funds expert John Verwey gives clients ‘every confidence that no problem is insurmountable’. Amar Unadkat, who ‘provides clear and succinct advice on complex regulatory matters’, is another key contact in the group.
Responsables de la pratique:
John Verwey
Autres avocats clés:
Amar Unadkat
Les références
‘Amar Unadkat is an excellent regulatory lawyer, who sees the big picture and provides pragmatic advice on complex regulatory points, distilling it into something that is digestible and effective.’
‘The team, namely Amar Unadkat and John Verwey, provide a pragmatic and personable approach to clients’ needs and from our experience, their ability to provide practical, concise and timely advice on evolving complex regulatory matters stands out.’
‘Amar Unadkat is great to work with and provides clear, succinct advice on complex regulatory matters.’
Principaux clients
AnaCap Financial Partners
Tenzing Private Equity
Hollyport Capital
Atomico
Principaux dossiers
- Advising Tenzing Private Equity on the ongoing fundraise for Tenzing Private Equity III, with a fund size target of £800 million.
- Advised Hollyport Capital on the formation of Hollyport Secondary Opportunities Fund VIII, which closed above its target of $1.5 billion.
- Advised Atomico on the formation of Atomico VI, consisting of a venture fund and a growth fund, which has raised $1.1 billion to date (target $1.35 billion) and is dedicated to investing in Europe’s technology hubs.
Ropes & Gray LLP
Ropes & Gray LLP provides ‘sound, commercially savvy and well-balanced regulatory advice’ to its client roster of global asset managers on matters concerning fund formation, risk retention and transactional work, in addition to ESG and securitisation regulation. Eve Ellis frequently advises asset managers on ESG mandates, and jointly leads the practice alongside Anna Lawry, who handles derivatives matters and structured financings. ‘Engaged and hardworking’ Dorota Maj is another key contact in the group.
Responsables de la pratique:
Eve Ellis; Anna Lawry
Autres avocats clés:
Dorota Maj
Les références
‘Eve Ellis is very experienced, has strong business acumen, a broad regulatory practice and deep knowledge. She is able to explain complex issues in easy-to-understand terms.’
‘Cutting-edge regulatory practice, providing sound, commercially savy and well-balanced regulatory advice. Its strength is that it not only covers closed-ended alternative investments and fund products, but also liquid strategies. Very well connected internationally. Smart, friendly and a very responsive team.’
‘Dorota Maj is an up-and-coming practitioner. Very engaged and hard working.’
Principaux clients
Angelo Gordon
TPG
Asia Alternatives Management LLC
Baillie Gifford
Bain Capital
Benefit Street Partners
CBRE Investment Management
Golding
HarbourVest Partners, LLC
iCapital Network, Inc.
Incus Capital
Invesco
Kohlberg
Limerston Capital
PIMCO
Sands Capital
Siguler Guff
Strategic Value Partners
Thomas H Lee
UBS
Vistria Group LP
Schulte Roth & Zabel International LLP
Noted for its established focus on private funds, Schulte Roth & Zabel International LLP has demonstrable experience in handling emerging regulatory mandates, from sustainability disclosures and digital assets regulation to the use of alternative data and sanctions policies. Key contacts in the team include practice leader Anna Maleva-Otto, who advises on the impact of EU directives and regulations, Polly O’Brien and Jim McNally.
Responsables de la pratique:
Anna Maleva-Otto
Autres avocats clés:
Jim McNally; Polly O’Brien
Les références
‘When you want a sense of what the market is doing, you need to speak to people who know the whole market. That is where SRZ have the edge. From the largest managers to newly launched funds, they can give insight into what managers and investors are offering and/or expecting.’
‘Real commercial acumen and deep knowledge.’
Principaux clients
AB CarVal Investors, LP
Alpha Wave Global, LP
Cevian Capital
Eminence Capital, LP
Irenic Capital Management LP
Marshall Wace LLP
Portfolio Advisors, LLC
Qube Research & Technologies Limited
Silver Point Capital, L.P.
Viking Global Investors LP
Principaux dossiers
- Advised a number of asset management clients and other investors on the impact of international sanctions on Russia in the context of unwinding and restructuring of private and publicly listed investments and loans with links to Russia.
- Advising private fund managers on the acquisition and use of alternative data.
- Advised several established European and US-based investment managers on their shareholder engagement strategies.
Simpson Thacher & Bartlett LLP
Simpson Thacher & Bartlett LLP advises on the financial services regulatory aspects of M&A and capital raisings, with additional experience in handling matters concerning change of control and AIFMD, as well as SFDR. Owen Lysak assists private funds, asset managers and financial institutions on AIFMD, MiFID II and UCITS mandates, and jointly leads the practice alongside, Stephanie Biggs, who acts for sponsors on the European regulatory aspects of major fundraises.
Responsables de la pratique:
Owen Lysak; Stephanie Biggs
Autres avocats clés:
Matt Feehily
Les références
‘Strong knowledge of ESG regulation and application for asset managers. The team are responsive to requests, and supportive on a wide range of topics. Diligent in their work.’
‘Very approachable and personable.’
Principaux clients
Apax Partners
Ares Management
Astorg
Bridgepoint
Cinven
Corsair Capital
CVC
EQT
Hg Capital
KKR
Pantheon
Permira
Stonepeak
TD Bank Group
The Blackstone Group
TPG
Triton
Principaux dossiers
- Representing CVC in the establishment of its ninth buyout fund, CVC Capital Partners IX (Fund IX).
- Acting for KKR on the establishment of two European alternative retail investment funds.
- Representing Bridgepoint Group plc (LSE: BPT) on the regulatory aspects of its addition of Energy Capital Partners.
Weil, Gotshal & Manges (London) LLP
Weil, Gotshal & Manges (London) LLP acts for funds and asset managers across the UK, Europe, North America and Australia on regulatory mandates concerning AIFMD, MiFID II, FCA authorisations, SFDR, securitisation regulation and post-Brexit. Praised as ‘highly responsive’, Marc Schubert leads the practice and advises on private funds regulatory matters.
Responsables de la pratique:
Marc Schubert
Autres avocats clés:
Hannah Laurie
Les références
‘Marc Schubert is highly responsive, takes a commercial approach and is highly attuned to client needs and commercial sensitivities.’
Principaux clients
Advent International
Bain Capital
Berkshire Partners
Brookfield Asset Management
Crow Holdings
Generation Investment Management
Genstar Capital
Altamont Capital
Just Climate
Providence Equity
Principaux dossiers
- Led the fundraise for Just Climate’s first fund, Climate Assets Funds I.
- Advising Brookfield Asset Management on the regulatory and global securities law aspects on a range of their private funds in the private equity, infrastructure, real estate and credit spaces.