Legal Support for FCA Regulated Firms

Disputes drain time and attention. We move fast to protect your position and resolve matters efficiently.

• Consumer complaints, claims, and FOS investigations: We triage complaints, draft responses, and handle escalations to the Financial Ombudsman Service with a focus on evidence, proportionality, and Consumer Duty principles.
• Commercial litigation and ADR: We pursue or defend claims with a strategy tailored to your risk appetite—prioritising negotiation and mediation where appropriate.
• Debt recovery and insolvency matters: We recover sums due, advise on statutory demands and winding-up options, and manage counterparty insolvency exposure.
• Contract enforcement and breach claims: We secure injunctions, damages, or negotiated settlements to enforce contractual rights.

Outcome-focused approach: We quantify risk, cost, and reputation impacts, then recommend the fastest route to resolution.

We support transactions and strategic projects that shape your business.

• Company formation and legal structuring: Set up entities and group structures with regulatory permissions, tax, and governance in mind.
• Business acquisitions, disposals, and mergers: Draft and negotiate SPAs, manage due diligence (including regulatory and data risk), and liaise on change-in-control considerations.
• Joint ventures and strategic alliances: Build collaborations with clear IP, revenue-sharing, and exit terms.
• Governance frameworks and shareholder arrangements: Create boards, committees, and shareholder agreements that map to SMCR responsibilities and oversight.
• Commercial planning and risk mitigation: Align contracts, policies, and controls with growth plans and regulator expectations.

Practical example: We guided a wealth management acquisition through change-in-control requirements, aligning completion timelines with FCA notifications to avoid business interruption.

Your contracts should be clear, enforceable, and aligned with the relevant regulations.

• Drafting and negotiating business agreements: From MSAs to distribution and reseller deals, we focus on clarity and risk allocation.
• Supplier and customer contracts: Tailored terms that reflect data, resilience, and conduct risks.
• Licensing and distribution arrangements: Structures that protect IP, brand, and channel integrity.
• Outsourcing and procurement documentation: Contracts that meet operational resilience and oversight requirements, including audit, exit, and contingency clauses.
• Consumer-facing terms and conditions: Fair, transparent, and compliant with Consumer Duty and consumer protection law.

We streamline templates and playbooks to speed up sales cycles while reducing disputes.

Protect culture, performance, and compliance.

• Employment contracts and internal policies: SMCR-ready documentation, whistleblowing, DEI, and conduct policies.
• Managing redundancies and restructures: Clear processes that reduce risk and maintain trust.
• Resolving workplace disputes and grievances: Early resolution backed by fair procedures and evidence.
• Tribunal representation and compliance reviews: Robust defence strategies and preventive audits.
• Investigations and performance management support: Independent investigations with defensible findings and action plans.

We help leadership teams handle sensitive issues discreetly and lawfully.

Protect your assets and handle data responsibly.

• Intellectual property protection and licensing: Safeguard software, brand, and content through effective registrations and licensing.
• Software agreements and SaaS contracts: Balanced SLAs, uptime, and security obligations that reflect operational resilience.
• Data privacy and GDPR compliance: DPIAs, data sharing/processing agreements, and privacy notices that withstand scrutiny.
• Brand management and sponsorship deals: Agreements that protect reputation and control.

Data in practice: We map data flows and negotiate processor terms to meet UK GDPR and cross-border transfer requirements, reducing enforcement risk and vendor lock-in.

Secure the proper premises for operational resilience and growth.

• Commercial lease negotiations: Terms that manage service credits, subletting, and exit.
• Property acquisitions and disposals: Efficient deals with clear due diligence and completion planning.
• Development agreements and planning law: Support for build-outs and refits.
• Asset management and property disputes: Cost-effective resolutions and portfolio optimisation.