Financial Services Regulatory and Commercial

Regulatory and Commercial Advice

APPOINTED REPRESENTATIVES

We can provide advice and drafting services on AR Agreements for both principals/networks and ARs, in addition to advice on the full range of contracts that firms may enter into with other parties including DFMs, fund managers and others.


Regulatory and Commercial Advice

CLIENT AGREEMENTS

In the run up to RDR we advised several firms on new suites of client documentation designed to comply with the rules on adviser charging. We can also advise firms on other client-facing documentation including platform agreements.


REgulatory and commercial advice

TECHNOLOGY AGREEMENTS

We have advised a number of firms on entering into bespoke contracts with platform providers used for client assets. We also have extensive experience of advising on other technology-based agreements for businesses in all sectors.



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