Finance

Retail Financial Services

Legal services for consumer-facing financial services

Selling financial advice to the public is a tricky business. Each day customers look to you to steer them through complex investments, transactions and financial products. The FCA expects you to comply with an ever-growing handbook. Competitors large and small look to snap up a bigger share of the market.

And somewhere within it all, you need to run a business which turns advice into profit.

But who advises the advisors? That’s where we come in. We know the retail financial services industry from your side and we have lawyers dedicated to helping IFAs and restricted advisers do their job.

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Why choose Foot Anstey

As lawyers we work with financial advisors and service providers every day.

You might be an investment manager, a consumer credit firm, an insurance broker, an investment platform, a P2P platform or a retail Islamic investment bank. Whatever your niche in the market, if you’re in the business of selling financial services to the public, we can help you.

We know how to help you meet the need to innovate, through new ventures and models of delivery. We know how to manage the pressures that regulation puts on you – both the ongoing compliance burden and the disruption of regulatory scrutiny. And we also know that financial services firms face the same legal issues all businesses do – people, property, structure, agreements and disagreements to name a few.

When you work with us, you’ll be partnered with a senior lawyer who understands financial services and the way bodies like the FCA work. We’ll draw on our experience giving legal advice to financial services firms to help you identify problems – and opportunities – as well as the strategy to meet them. And we won’t shy away from giving straightforward advice which helps you meet your commercial objectives.

Our People

Our team of retail financial services lawyers have expertise covering all aspects of the financial services industry. Our key services include regulatory advice, risk, liaising with the FCA, corporate deals, commercial and technology agreements, customer-facing documents and advising firms and directors on alleged conduct issues.

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