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Asset Managers

The asset management sector is one of the UK’s great success stories. However, asset managers are increasingly under pressure from regulators, facing cost and competition challenges, and needing to keep up with technological advances in the sector. We understand the challenges our clients face and work as part of their team to provide the expert advice and support they need.

Our asset management expertise

Our client base spans large, blue-chip institutional asset managers, medium sized firms, and start-ups. Our expertise in providing comprehensive advice to this diverse set of clients sets us apart and means that no matter the focus of your business, we can provide the very best technical and practical advice.

Regulatory advice for asset managers

We provide regulatory advice keeping our clients up to date with the latest changes including:

  • The FCA’s conduct of business requirements
  • The Consumer Duty
  • Senior Managers & Certification Regime (SM&CR)
  • Financial promotion rules
  • FCA and PRA prudential requirements
  • The Anti-Greenwashing Rule and Sustainability Disclosure Requirements (SDR)
  • The UK Overseas Funds Regime

Legal services for asset managers

We advise our asset manager clients on the full spectrum of legal and regulatory issues that impact them and draw upon our expertise across our legal teams to advise on:

Recent work highlights include:

  • We regularly advise large asset manager clients on authorised fund set ups, mergers and terminations. We work closely with the client to prepare all the fund documentation and liaise with the FCA on fund applications.
  • We are advising a number of UK based asset managers on the new Sustainability Disclosure Requirements, including working with asset managers looking to use sustainability investment labels.
  • Advising fund managers with overseas funds on routes to market in the UK, including applications under s.272 FSMA and preparation for the UK’s new Overseas Funds Regime.
  • We recently acted for a UK subsidiary of a global asset management group on a complex employment and a case relating to the UK’s senior managers’ and certification regime.
  • We have been advising an asset manager who was required to respond to the FCA following an information request prompted by a whistleblower.

How can we help?

Contact the team about services for asset managers and investment funds:

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