Our highly regarded buy-side regulatory practice provides advice on all aspects of regulation affecting the buy-side. We advise fund managers and segregated portfolio managers, as well as institutional and other sophisticated investors. Our asset manager clients employ diverse strategies, from UCITS and traditional long-only managers through to hedge, real estate, private equity, infrastructure and debt funds. We also advise service providers, such as depositaries and custodians. The practice is an important part of our global asset and wealth management group.

How we can help

We work closely with our investment funds, markets infrastructure, tax, pensions and regulatory investigations specialists to offer integrated coverage of all issues affecting asset managers, their clients and counterparties. 

Local licensing - At the outset, we help our buy-side clients to get established and navigate local licensing and authorisation requirements. We help our clients manage their relationships with regulators and provide them with practical advice on how to conduct their businesses within the regulatory framework.    
Regulatory compliance and horizon scanning - We offer a range of regulatory risk and compliance services, from full systems and controls reviews to ongoing advisory and compliance monitoring services. Our global asset management regulation horizon scanner provides a high-level overview of some of the key ongoing and expected regulatory developments impacting investment managers.

Documentation - We have considerable experience in drafting and negotiating investment, fiduciary management and transition management agreements, both for buy-side clients and for pension funds, family offices and other institutional and sophisticated investors. We assist clients with other customer documentation, policies and procedures, as well as with their prime broker, depositary, custody, brokerage and investment advisory agreements.

Regulatory approvals - We assist buy-side clients on obtaining approvals under all the different types of regulatory regimes and have experience in assisting clients with transaction documents to reflect required regulatory conditions precedent to completion.

Corporate finance - We regularly assist buy-side clients with all aspects of their corporate finance needs, including advising on market conduct issues.

ESG - We regularly advise buy-side clients on environmental, social and governance issues.

Product life cycle - We regularly advise buy-side clients on rules impacting their ability to market their services and products and have significant experience advising intermediary firms such as investment advisors and brokers.

Investigations - We provide a global service to asset and wealth management businesses and senior executives, enabling them to respond to local and multi-jurisdictional disputes, regulatory investigations and compliance matters.

Markets and transparency - We regularly advise on, and help our buy-side clients negotiate, their brokerage, clearing and settlement, custody and collateral management arrangements.

Cross-border projects - We have significant experience in cross-border regulatory change projects.


Insights

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Global Regulation Tomorrow blog

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Norton Rose Fulbright introduces US Regulatory Intelligence, a leading resource on financial regulation



Contacts

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Global Head of Financial Services
US Head of Financial Services and Global Head of Private Wealth
Head of White Collar Defense and Investigations, United States
Global Director of Financial Services Knowledge, Innovation and Product
Asia Head of FinTech and Financial Services Regulatory; Partner
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Director
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Partner, Canadian Head of Financial Services and Regulation
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Senior Consultant
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Co-Head of the Contentious Financial Services Group, London
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