Stuart Brothers, the firm’s principal, is a leading financial services solicitor with vast experience in advisory and contentious work.
Stuart’s practice areas include:
- FSMA and FCA Handbook compliance, including COBS and PERG.
- FCA investigations and enforcement.
- Financial Services litigation – including complaints handling, FOS claims and High Court actions.
- Advising SIPP and SSAS trustees – including due diligence processes and in specie asset transfers.
- Advising on matters relating to transfers of defined benefit pensions.
- Appointed representative agreements including liability of principals and supervision.
- Corporate governance for FCA regulated entities arising from SM&CR.
- With profits contracts including bonus issues.
- Financial promotions.
- Liabilities arising from UCIS products.
- Shareholders and partnership agreements for FCA regulated entities.
- Business acquisitions and disposals for FCA regulated entities.
- Mediation for financial services related disputes.