financial services
About Howard Kennedy Howard Kennedy is an approachable, commercial law firm working alongside national and international clients across many disciplines including banking and finance, corporate, tax, intellectual property, real estate, employment, partnerships, dispute resolution, private client and family.
International reach We have developed strong relationships with other leading firms and lawyers around the world, whom we are able to call upon should our clients require. We are also members of two international legal networks, Meritas and LAW, which further broadens our international connections.
Supporting businesses operating in the financial services sector We have a particularly strong focus on the financial services sector, providing a wide range of contentious and non-contentious support for financial services businesses, including investment firms, investors, funds and their promoters. More information about our work in this sector is detailed within this leaflet.
How can we help you? Financial regulation and investment funds Advice on all aspects of the regulatory jurisdiction of the Prudential Regulatory Authority (PRA) and the Financial Conduct Authority (FCA) in the UK and the relationships of various investment, banking, insurance and other entities with their regulators. Advice for non-UK clients setting up regulated businesses in or promotion of investments into the UK. • • • • • • • • • • •
brokerage and investment trading corporate finance and investment advice futures, options and CFDs investment, asset and wealth management alternative investment structures payment services and electronic money banking regulation insurance mediation mortgages and consumer credit regulation MTFs and alternative trading systems formation, regulation and promotion of alternative investment funds
Contact:
Daniel Tunkel Partner: Head of Financial Regulation and Funds T: +44 (0) 20 3755 5749 E: daniel.tunkel@howardkennedy.com
“Daniel Tunkel has ‘extensive knowledge and experience’ [in the financial services area].” Legal 500 UK 2014
Financial services and investor litigation Advice on all aspects of commercial litigation and dispute resolution including particular expertise in: • disputes • mis-selling claims • professional negligence actions • domestic and international arbitration • civil fraud claims, tracing and asset recovery • p re-emptive relief - freezing injunctions, search orders, restraint and civil recovery orders • Financial Ombudsman Service Contact:
Sue Thackeray
Dan Hyde
Partner: Head of Commercial Litigation T: +44 (0) 20 3755 5743 E: sue.thackeray@howardkennedy.com
Partner: Dispute Resolution T: +44 (0) 20 3755 5524 E: dan.hyde@howardkennedy.com
“Howard Kennedy’s offering was strengthened by the hire of Dan Hyde…Sue Thackeray heads the team and is ‘tenacious’. She is listed as a ‘Leading Individual’.” Legal 500 UK 2014
Investigations and enforcement Specialists on financial crime, advising clients in cases of bribery and corruption, money laundering, alleged cartel activity, insider dealing and market abuse. We represent corporate clients, professional firms and individuals in investigations by: • FCA • Serious Fraud Office • National Crime Agency • Competition and Markets Authority • Crown Prosecution Service Contact:
Ian Ryan Partner: Head of Business Crime and Regulatory T: +44 (0) 20 3755 5691 E: ian.ryan@howardkennedy.com
“Ian Ryan heads the team at Howard Kennedy, which has particular expertise in money laundering, bribery and corruption cases and FCA investigations. He is listed as a ‘Leading Individual’ for Fraud: White Collar Crime.” Legal 500 UK 2014
Employment and partnerships Specialist advice for businesses, partnerships, LLPs and individuals, operating in the financial services industry, on all aspects of the employment relationship and partners’ rights and obligations, including: • c ontracts, remuneration, incentive arrangements and policy guidance • board level advice and reorganisations • confidentiality and business protection • discrimination and harassment • whistleblowing claims • dismissal, expulsion, disciplinary and grievance issues • exit and severance arrangements Contact:
Jane Amphlett Partner: Employment T: +44 (0) 20 3755 5360 E: jane.amphlett@howardkennedy.com
“Jane Amphlett has a strong grasp of technical minutiae and is recommended accordingly.” Legal 500 UK 2014
Corporate issues for investment firms and investors Specialist expertise in corporate and commercial law, including: • public and private M&A and takeovers • joint ventures • c orporate structures, reorganisations and reconstructions • asset acquisition, disposal and refinancing • commercial contracts • taxation of financial services and products Contact:
Ashley Reeback Partner: Head of Corporate T: +44 (0) 20 3755 5676 E: ashley.reeback@howardkennedy.com
“Ashley Reeback is recognised by sources for his ‘capabilities in M&A and AIM matters, among other corporate work’.” Legal 500 UK 2014
Capital raising for listed investment funds and EIS schemes Advice on all aspects of corporate finance with notable expertise in: • main market, AIM, VCT and EIS flotations • private equity and venture capital funding • tax shelter based funds Key partners are registered with the UK Listing Authority to undertake Sponsor activities. Contact:
Keith Lassman Partner: Head of Capital Markets T: +44 (0) 20 3755 5561 E: keith.lassman@howardkennedy.com
“Howard Kennedy’s team, led by Keith Lassman, is ‘great to work with as it understands the pressures clients face’. The firm is particularly active in the VCT sector.” Legal 500 UK 2014
Restructuring for investment firms Formulation of restructuring strategies for financial services companies facing financial difficulties and advice and guidance when dealing with third parties encountering such difficulty: • business restructuring, re-finance and turnaround • advising directors of their duties and responsibilities • dealing with insolvent counter parties • acquisition of businesses from insolvency office-holders • representing investors seeking asset recovery from insolvent investment firms Contact:
Vernon Dennis Partner: Head of Corporate Recovery and Reconstruction T: +44 (0) 20 3755 5430 E: vernon.dennis@howardkennedy.com
“The ‘extremely knowledgeable’ and ‘very commercial’ Vernon Dennis of Howard Kennedy handles both contentious and non-contentious insolvency and restructuring work.” Chambers UK 2014
Banking Advice on debt finance, with particular expertise in cross-border aspects, including: • bilateral and syndicated facility agreements • loan note/bond issuance instruments • guarantees • security over assets in England and other jurisdictions • distressed and non-distressed debt purchases Contact: Nigel Emerson Partner: Head of International Finance T: +44 (0) 20 3755 5443 E: nigel.emerson@howardkennedy.com
“Howard Kennedy ‘should be recommended for great service from lawyers who listen to what clients want’.” Legal 500 UK 2014
No.1 London Bridge London SE1 9BG DX 144370 Southwark 4 Tel: +44 (0)20 3755 6000 Fax: +44 (0)20 3650 7000 www.howardkennedy.com