MiFID (funds, investment management, brokerage, advice and platform providers)

A first rate service at a sensible price



Get in touch

For further advice please contact us for a consultation.

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+44 (0)3330 143 401 info@gunnercooke.com

We have an experienced regulated investments advisory team, as our team have worked across the industry to help firms comply with the regulatory framework for investments. We have worked across the industry from small first-time managers and advisors to some of the largest leading institutions.

Our Philosophy

Often firms have difficulty with lawyers, in terms of obtaining a reliable fee quotes which they know the lawyer will stick to, in terms of making sure that they receive a high quality of service that is both prompt and fully understand the nature of the client’s business. Often lawyers over-complicate the legal and regulatory framework, without focussing on what is important.

Our team is well versed in FCA and PRA requirements, which means that we are able to provide pragmatic advice on a fixed fee basis. We prefer using fixed fees because it avoids surprises and so that we can focus on providing high quality advice. We are well connected across the industry, and take a holistic approach for clients, which seeks to help them grow. We provide pragmatic, focussed advice designed to provide concrete solutions for our clients.

About Us

We provide a full-service solution, assisting firms from start-ups and SMEs to large multinational organisations. Highlights of work undertaken by team members include:

  • Regulatory implementation projects.
  • Documentation, including drafting:
  • investment management agreements,
  • brokerage agreements,
  • fund documentation,
  • advice agreements,
  • distribution agreements,
  • appointed representative agreements, and
  • other agreements relating to investments.
  • Conduct of business and regulatory queries
  • Setting up robo-advice and automated advice platforms and solutions

Testimonials

“James Burnie has been one of our most trusted allies in the journey into building fintech. Unlike traditional compliance consultants who are quick to warn, James first tries to understand what our goal is and then to offer a solution. Only as a last resort does he warn and recommend taking the safest path. Throughout our relationship he has been a pleasure to work with and we use him for regulatory work on our digital wealth management products. He has a deep and intuitive knowledge of the rules and regulations, and provides pragmatic and focussed advice, able to deal with complex issues. We would have no hesitation recommending him.”

Karan Shanmugarajah (CEO) and Yannick Brunner (General Counsel), WealthKernel

“The Digital Assets industry is evolving at an unprecedented rate causing a need for firm legal advice. James Burnie and the team at Gunnercooke are amongst the few able to grasp how the legislation of tomorrow will look like today. Such insight combined with James´ understanding of Crypto Assets as a whole enables him to give incisive guidance on the right way forward in a cost-effective manner. I fully appreciate and trust the legal advice of James and his team having spanned several areas in relation to Digital asset and regulation.”

Torben Friis, Managing Director, GCEX

Key contacts

Edward Black

Partner

Financial Services

James Burnie

Partner

Financial Services Regulation and FinTech

Paul Estlin

Partner

Financial Services

Carol LHeveder

Partner

Financial Services

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