Regulation of financial services doesn’t have to stifle innovation. We help make sure you’re compliant, properly authorised, and with up to date contracts, so you can run your business without interruption.
Our clients range from start-ups to corporates, national and international. We work with insurers, insurance intermediaries, and SIPP operators—as well as IFAs, wealth management firms, brokers and placement agents.
We’re particularly good at:
We can handle FCA authorisation from start to finish, whether you’re an innovator, testing the regulatory parameters, or a conventional financial service provider.
We can help prepare your regulatory business plan, and advise on proposed activities, structure and your internal regulatory framework.
We can help you develop internal policies, systems and controls required by your business in accordance with the FCA rules.
We support innovative FinTech and InsurTech firms to launch ideas that are a disruptive influence in the financial services market. Our clients like our bold and pragmatic advice on how new ideas and technology fit into existing regulatory boundaries.
Our clients include insurers, MGAs and brokers. We often provide expert written advice on applying current regulation to proposed new business. We advise on crossborder regulatory issues and also assist businesses on how to investigate and appropriately respond to “Dear CEO” letters from regulators.
We help wealth managers and pension operators to navigate trust law, UK finance law, pension regulations, and European law. We draft trust and governance documents for SIPP schemes and discretionary fund management agreements, and advise investment firms on MIFID and AIFMD applications. In-house counsel and compliance officers regularly choose us as their trusted outsourced legal resource.
Capital Law is one of the few law firms with proven regulatory expertise in blockchain and cryptocurrency.
We’ve advised cutting-edge projects on regulation, fund raising, and Initial Coin Offerings (‘ICOs’). We verify white papers, advise on the regulatory position of cryptocurrencies and tokens (security, utility and exchange), and draft pre-seed, pre-sale, and sale documentation.
It is essential for us to have a firm like Capital as our legal partner as they certainly bring value to our business.