We advise many employees and directors from the highly regulated financial services sector. We are familiar with dealing with the in-house departments of banks, hedge funds, insurance companies and other businesses operating within the financial services sector.
Typical areas of work within financial services for employees and directors
- Negotiation of settlement agreements
- Regulatory references
- Bonuses including deferred awards payable in cash or equity
- Carried interest arrangements
- Restrictive covenants and confidentiality – the meaning in practice
We also work with businesses operating within the financial services and in particular the emerging Fintech sector. Many of our clients came to us as start ups founded by entrepreneurs. Technology is at the centre of the financial system.
Typical areas of work for financial services businesses
- Establishing the extent of regulatory compliance required for the offering and solving the problems around the requirements of the Financial Conduct Authority
- Data protection and data mining
- Setting up joint ventures often between developers of the technology backed by financiers and marketers
- Investment rounds
- Looking after the concepts and technology used by the financial services businesses to keep it safe from competitors
- Blockchain and framework agreements for the procurement and outsourcing of technology