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Hedgeline

Check out our latest publication dedicated exclusively to hedge fund regulation.

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Financial services is an incredibly broad sector and to say we were a master of every aspect would not be accurate. However, having advised financial institutions, as well as employees, on issues ranging from Financial Services Authority enforcement proceedings to insurance disputes to property financings, we have an extremely good insight into the sector and its particular needs and nuances.

 

OUR SERVICE:

We provide full service support to those active in the financial services sector. Some examples include advising:

  • an insurance company on their listing on AIM as well as their corporate acquisitions 
  • Nomads and brokers in relation to the AIM market 
  • Hedge funds in connection with Financial Services Authority (FSA) enforcement proceedings (FSI partner Philip Rubens worked at the FSA in the enforcement division) 
  • High Street banks on property financing matters 
  • Stockbrokers and hedge fund managers on their divorces and valuation of share options as well as international tax and estate planning 
  • insurers on claims related to the education and media sectors 
  • investment brokers on their employment disputes and restrictive covenants

RECENT EXPERIENCE ADVISING:

  • a senior investment banker at Deutsche Bank who was subject to an FSA investigation and was successfully defended when FSA dropped all charges against him
  • Swiss insurer Winterthur on substantial claims against a broker for a breach of contract/negligence. The case settled on favourable terms
  • Laxey Partners Ltd v John Gummer MP - a former Government Minister was obliged to publicly apologise and pay substantial damages and costs for his actionable defamation of our client
  • Laxey Partners, a global active value investment management company, in relation to its investment strategies in a listed public company
  • Land Heritage, a major land banking company with 700 investors, subject to an FSA investigation
  • a hedge fund manager in relation to a major investigation by the French regulator

THE DIRECTORIES SAY...

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In addition to its focus on financial services disputes, the team has diversified its workload to include FSA regulatory work, Privy Council appellate litigation, and evidence gathering and investigations in support of foreign proceedings. Thanks to its international network, Meritas, the team increasingly acts on complex international bank deposit disputes and other cross-border and multi-jurisdictional matters.

Chambers & Partners' 2010, A Client's Guide to the Legal Profession

THE DIRECTORIES SAY...

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FSI advises hedge fund managers, brokers, and investment bankers in relation to enforcement proceedings, “demonstrating an impressive grasp of complicated technical issues".

Legal 500 Clients’ Guide to the UK Legal Profession 2009

WHO TO CALL?

Check out the sector team list on the left hand navigation bar or contact head of team, Philip Rubens, with any queries

Philip Rubens