DWF’s Wealth Management sector serves a broad spectrum of financial services clients, including private banks, investment managers, financial advisers and platform providers. These clients operate across the retail and institutional investment sectors, often navigating complex regulatory frameworks such as MiFID II, MIFIDPRU, and the Consumer Duty regime. DWF supports these clients with legal and regulatory advice on matters ranging from product/proposition structuring and platform governance to specific regulatory compliance in areas such as adviser charging, client relationship models, and financial promotions. The firm also engages with consolidators, SIPP providers, and firms offering discretionary and non-discretionary portfolio management, helping them adapt to evolving FCA expectations and market dynamics.
The wealth management regulatory lawyers are supported by a full service law firm, with specialists in: claims, complaints and systemic liabilities (Financial Risks); personal pensions and SIPP operators (Pensions); wealth management M&A, corporate structuring and acquisition strategies (Corporate); and, restructuring and resolutions, including (Special) Administrations of investment firms (Restructuring & Insolvency). We work regularly with specialists in Employment, Data Privacy and ESG with relevant experience in wealth management and regulated financial services more generally.
