Financial Adviser Networks
We are trusted legal advisers to the three largest networks in the UK, plus many others, and act for them in all practice areas. With deep sector expertise, our specialist teams can help you predict how public policy and regulation will change, and the impact this will have. We challenge established thinking about the regulatory framework, enabling you to identify and address risks and opportunities for your business models.
Services
ContactsOverview
We advise financial adviser networks on all areas in which they require legal support including dispute resolution, regulatory, investigations and white collar crime, AML/sanctions, employment, real estate, corporate, commercial and distribution, technology, data and cyber security.
We are highly experienced in advising on communication and compliance with a wide range of UK and overseas regulatory bodies, including the Financial Conduct Authority and the Financial Ombudsman Service. Members of our team have previously worked at regulators such as the FCA so have particular insight in this area.
With our team of solutions-driven, responsive and proactive advisers, we are focused on pre-empting and resolving issues as quickly as possible. Our ability to scan the horizon and anticipate challenges and opportunities means we can keep you informed, prepared and fit for the future.
WealthTech Peacesetters
Over the next three to five years, the industry will be transformed – we help firms adapt and capitalise on market disruption. Our leading technology law experts form an integral part of our Financial Advisor Network service offering, advising on emerging tech solutions in the rapidly expanding and innovative WealthTech space.
Featured experience
- We trained and worked with a network’s customer liaison team; during which time we designed and implemented root and branch changes, with the net result that that firm’s uphold rates at the Financial Ombudsman Service were reduced from 42% to 21%, within 3 years, when the volume of its retail client business grew significantly (but its financial outlay for redress did not)
- Commercial due diligence and negotiation support for an adviser network expanding its UK adviser footprint, including fund management, distribution, technology, back office and administration services arrangements, across a series of >£5M transactions
- Advising a top 5 network firm on issues arising from historic data feeds on which its client dashboards depended, resolving issues arising with the feed provider and advising on revised commercial terms relating to the feeds
- Advising Tavistock Investments Plc on the proposed acquisition of Morgan Financial Group, an independent financial adviser group providing financial planning and consultancy services to private and corporate clients with an estimated £500 million of assets under advice
- Advising St. James’s Place on a number of larger, strategic deals including new offices in London; relocations; and transactions involving subsidiary acquisitions (such as the relocation of Rowan Dartington)
Related services
Commercial Contracts
We act for both buyers and suppliers of goods and services across various sectors including health, real estate, chemicals, manufacturing and logistics, sports and leisure and technology.
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Corporate
Our corporate team delivers comprehensive legal solutions to a diverse clientele. We specialise in M&A, Equity Capital Markets, and corporate advisory matters, collaborating seamlessly to help clients achieve their business goals.
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Data, Privacy and Cyber
Our Data, Privacy and Cyber team provides advice and support on advisory and contentious matters of all sizes and complexity.
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Dispute Resolution
Our Dispute Resolution team has an established reputation for handling complex, high value commercial disputes and achieving successful and pragmatic solutions for our clients.
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Employment
Our Employment and Pensions group is one of the largest specialist employment teams in the country, with over 60 specialist employment and pensions lawyers nationally. Tax is an integrated part of the advice we provide.
Regulatory Investigations and Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators.
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Financial Services Regulatory
We provide expert advice on financial services regulation to banks, asset managers, securities brokers, insurers and insurance brokers, and financial advisers.
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Professional Liability
Our leading professional liability team maintains an unparalleled reputation for protecting the interests of professional services firms.
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Who we are
Why choose DAC Beachcroft?
We’re a broad-based commercial firm serving a wide range of sectors with a strong heritage in insurance,
health and real estate. We combine excellent legal skills and cutting-edge delivery expertise to design
solutions that fit the needs of our clients – often involving clever uses of technology.
Our expertise
Asset Managers
We provide legal support to asset managers on all aspects of conduct of business and regulatory risk.
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Banks
We act for all different types and sizes of banks, from challenger banks, to the largest global investment banks. Our clients include a plethora of banks comprising investment, challenger, retail, commercial, investment, foreign banks, private banks, building societies, neobanks, and novel alternative capital providers.
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FinTech
Our legal expertise in FinTech and all its essential component parts – payment, blockchain, wealth management, InsurTech and RegTech – provides competitive advantage for you through our deep understanding of the sector.
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Hedge Funds
We provide regulatory, corporate and commercial advice to hedge funds and their managers, as well as strategic guidance on future legal developments.
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Securities Brokers
We provide regulatory and commercial advice to securities brokers as well as advising on disputes with clients and investigations and enforcement actions by financial services regulators.
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Financial Adviser Networks
As market leaders immersed in the financial services sector, we help financial adviser networks navigate the complex legal and regulatory landscape of the industry.
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Wealth Managers and Advisers
We are the market leading law firm for services to financial advisers/wealth managers and networks.
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