• At Kemp Little, we are known for our ability to serve the very particular needs of a large but diverse technology client base. Our hands-on industry know-how makes us a good fit with many of the world's biggest technology and digital media businesses, yet means we are equally relevant to companies with a technology bias, in sectors such as professional services, financial services, retail, travel and healthcare.
  • Kemp Little specialises in the technology and digital media sectors and provides a range of legal services that are crucial to fast-moving, innovative businesses.Our blend of sector awareness, technical excellence and responsiveness, means we are regularly ranked as a leading firm by directories such as Legal 500, Chambers and PLC Which Lawyer. Our practice areas cover a wide range of legal issues and advice.
  • Our Commercial Technology team has established itself as one of the strongest in the UK. We are ranked in Legal 500, Chambers & Partners and PLC Which Lawyer, with four of our partners recommended.
  • Our team provides practical and commercial advice founded on years of experience and technical know-how to technology and digital media companies that need to be alert to the rules and regulations of competition law.
  • Our Corporate Practice has a reputation for delivering sound legal advice, backed up with extensive industry experience and credentials, to get the best results from technology and digital media transactions.
  • In the fast-changing world of employment law our clients need practical, commercial and cost-effective advice. They get this from our team of employment law professionals.
  • Our team of leading IP advisors deliver cost-effective, strategic and commercial advice to ensure that your IP assets are protected and leveraged to add real value to your business.
  • Our litigation practice advises on all aspects of dispute resolution, with a particular focus on ownership, exploitation and infringement of intellectual property rights and commercial disputes in the technology sector.
  • We have an industry-leading reputation for our outsourcing expertise. Our professionals deliver credible legal advice to providers and acquirers of IT and business process outsourcing (BPO) services.
  • We work alongside companies, many with disruptive technologies, that seek funding, as well as with the venture capital firms, institutional investors and corporate ventures that want to invest in exciting business opportunities.
  • Our regulatory specialists work alongside Kemp Little’s corporate and commercial professionals to help meet their compliance obligations.
  • With a service that is commercial and responsive to our clients’ needs, you will find our tax advice easy to understand, cost-effective and geared towards maximising your tax benefits.
  • At Kemp Little, we advise clients in diverse sectors where technology is fundamental to the ongoing success of their businesses.They include companies that provide technology as a service and businesses where the use of technology is key to their business model, enabling them to bring their product or service to market.
  • We bring our commercial understanding of digital business models, our legal expertise and our reputation for delivering high quality, cost-effective services to this dynamic sector.
  • Acting for market leaders and market changers within the media industry, we combine in-depth knowledge of the structural technology that underpins content delivery and the impact of digitisation on the rights of producers and consumers.
  • We understand the risks facing this sector and work with our clients to conquer those challenges. Testimony to our success is the continued growth in our team of professionals and the clients we serve.
  • We advise at the forefront of the technological intersection between life sciences and healthcare. We advise leading technology and data analytics providers, healthcare institutions as well as manufacturers of medical devices, pharmaceuticals and biotechnological products.
  • For clients operating in the online sector, our teams are structured to meet their commercial, financing, M&A, competition and regulatory, employment and intellectual property legal needs.
  • Our focus on technology makes us especially well positioned to give advice on the legal aspects of digital marketing. We advise on high-profile, multi-channel, cross-border cases and on highly complex campaigns.
  • The mobile and telecoms sector is fast changing and hugely dependent on technology advances. We help mobile and wireless and fixed telecoms clients to tackle the legal challenges that this evolving sector presents.
  • Whether ERP, Linux or Windows; software or infrastructure as a service in the cloud, in a virtualised environment, or as a mobile or service-oriented architecture, we have the experience to resolve legal issues across the spectrum of commercial computer platforms.
  • Our clients trust us to apply our solutions and know-how to help them make the best use of technology in structuring deals, mitigating key risks to their businesses and in achieving their commercial objectives.
  • We have extensive experience of advising customers and suppliers in the retail sector on technology development, licensing and supply projects, and in advising on all aspects of procurement and online operations.
  • Our legal professionals work alongside social media providers and users in relation to the commercial, privacy, data, advertising, intellectual property, employment and corporate issues that arise in this dynamic sector.
  • Our years of working alongside diverse software clients have given us an in-depth understanding of the dynamics of the software marketplace, market practice and alternative negotiating strategies.
  • Working with direct providers of travel services, including aggregators, facilitators and suppliers of transport and technology, our team has developed a unique specialist knowledge of the sector
  • Your life as an entrepreneur is full of daily challenges as you seek to grow your business. One of the key strengths of our firm is that we understand these challenges.
  • Kemp Little is trusted by some of the world’s leading luxury brands and some of the most innovative e-commerce retailers changing the face of the industry.
  • HR Bytes is an exclusive, comprehensive, online service that will provide you with a wide range of practical, insightful and current employment law information. HR Bytes members get priority booking for events, key insight and a range of employment materials for free.
  • FlightDeck is our portal designed especially with start-up and emerging technology businesses in mind to help you get your business up and running in the right way. We provide a free pack of all the things no-one tells you and things they don’t give away to get you started.

Financial Regulatory

At Kemp Little we provide commercially astute, fully integrated advice on all aspects of UK and EU financial regulation to clients from start-ups to leading and international financial institutions. Our extensive financial regulatory skills and experience enable us to provide first-class advice on the regulatory aspects of projects and transactions and to find practical solutions to the regulatory issues that our clients face.

Integrated, commercial approach

At Kemp Little we make a point of providing integrated, multi-disciplinary advice. Our clients don't see their businesses as divided by legal practice area and neither do we. Our approach is ideally suited to advising on financial regulation from a commercial, strategic perspective, not as an isolated or academic matter. Also, through inside experience at the Financial Conduct Authority and as in-house legal counsel, as well as in private practice, we have real understanding of how the regulatory environment impacts clients’ day-to-day business and the resourcing pressures to which businesses are subject. We aim to help clients minimise regulatory burdens while complying with relevant regulations.

At the intersection of technology and the financial sector

Kemp Little offers a particular focus on financial regulation as it impacts the intersection between technology and the financial sector. Technology is revolutionising the way that the financial services and markets sector operates. Moreover, regulatory reforms are resulting in a profound shift in how firms go about meeting their regulatory obligations and the increasingly technical nature of regulatory compliance. Nowadays businesses in or serving the financial sector need a law firm that truly combines technology and financial regulatory expertise.

International

Many of the matters we advise on are international and we work closely with leading local counsel with highly regarded financial services practices and strong relationships with local regulators. We believe in working with the best local counsel, taking into account the particular client and matter, in each relevant jurisdiction. We offer extensive experience of leading and managing multi-jurisdictional projects and helping our clients decide how and where best to structure their business and obtain competitive advantage.

Clients

We offer advice to financial institutions across the wholesale and retail spectrum including:

  • banks
  • insurers and reinsurers
  • brokers, advisers and arrangers
  • investment funds businesses
  • wealth managers and private banks
  • operators of multilateral trading facilities, exchanges and other trading platforms, trade repositories and clearing houses
  • rating agencies
  • crowdfunding and peer-to-peer lending platforms
  • consumer credit providers
  • ​payment services providers and electronic money issuers

We also offer advice to unregulated providers of financial technology and other products and services to the authorised financial sector.

Expertise

We have extensive experience of providing financial regulatory advice in areas including all the following and more:

Business structuring in the financial sector

  • perimeter issues and exclusions from the regulated activities regime
  • authorisation of financial sector businesses
  • EU passporting of cross-border services and branches
  • regulatory aspects of authorised firms' corporate projects, including mergers, acquisitions, reorganisations and new office openings, respective regulatory merits of subsidiaries or branches, regulatory approvals and notifications, both in the UK and managing complex multi-jurisdictional changes of control
  • group organisational and governance regulatory requirements
  • variations in scope of regulatory permissions, legal status, controllers and close links
  • regulatory notifications and approvals in relation to capital reductions, dividend payments and asset transfers
  • appointed representatives and tied agents, preparing notifications and agreements

Sales, marketing and client relationships in the financial sector

  • marketing and distribution in the UK and internationally and exemptions to the financial promotions regime
  • client categorisation, on-boarding and documentation
  • anti-money laundering
  • retail distribution review

Financial sector transactions, products and services

We offer advice on the regulatory aspects of new financial products and services and on market infrastructure. We draft, review and negotiate contractual terms through the trading chain.

Ongoing financial regulatory compliance

We advise on all aspects of UK and EU regulatory compliance, including gap analysis.

  • dealing and management
  • investment research
  • conduct of business
  • senior management, systems and controls
  • conflicts of interest
  • client money and assets
  • regulatory reporting
  • regulatory capital and risk management
  • dealing commission and incentives

We also have extensive experience of drafting provide compliance manuals, monitoring programmes and procedures.

Staffing and corporate governance of authorised firms and employment in a regulated environment

  • applications for financial regulatory approval to perform controlled functions, handling issues such as regulatory breaches or past misdemeanours
  • preparation for appointment for significant influence controlled functions, including interviews with the FCA and PRA
  • managing sensitive grievances and disciplinary processes
  • implementation of the Senior Managers adn Certification Regime
  • Recruitment and termination
  • corporate governance
  • remuneration
  • outsourcing arrangements of authorised firms

Investment management, advice and broking

We have extensive experience of advising investment managers, advisors and brokers on all regulatory aspects of their businesses.

Investment funds

We offer highly specialised investment management experience to investment funds businesses, advising clients from start-ups to global institutional managers on formation and documenting hedge, venture capital, private equity and other alternative funds, as well as funds of funds, ETFs and UCITS and other regulated funds. We advise on clients' day-to-day operations, including in their relations with investors and counterparties, and offer specialist advice on authorisation, ongoing regulatory compliance and cross-border business and distribution. We have significant experience of drafting and negotiating investment fund related agreements, including investment management, advice and marketing agreements, limited partnership agreements, administration agreements, custody agreements and offering documents. We have been extensively involved in the implementation of the AIFMD and are core members of AIMA's working group.

Financial regulatory strategy

We advise on the UK, EU and global regulatory reform agenda, informing our clients' strategic decisions and plans for new products and services. We offer regulatory impact assessments and help clients in planning for and implementing regulatory changes to protect their businesses from regulatory risk and to position them to take advantage of emerging opportunities.

Financial regulation considerations for financial technology businesses

  • assisting in the development of new products and services aimed at the authorised sector to ensure they meet the demands of current and incoming regulation
  • regulatory aspects of bid support and engagement in respect of bids for financial sector customers, for whom regulatory compliance considerations are key

Investigations and financial crime

  • conducting internal investigations of suspected regulatory breaches, including liaising with regulators, timing, content and format of regulatory notifications, resulting disciplinary actions, remedial measures and lessons learned
  • insider dealing and market conduct
  • legal and compliance incidents and complaints, including Financial Ombudsman Service
  • regulatory focus on authorised firms' resilience to cyber-crime
  • suspicious transactions

Bribery and corruption prevention

We also have specialist experience of advising financial sector and other businesses on bribery and corruption prevention, including staff training and implementing protective measures in the form of adequate procedures, due diligence and contractual protections and, for authorised clients, related regulatory systems and controls. We specialise in advising on the extra-territorial reach of the legislation and in scenarios involving mergers, acquisitions, joint ventures, service providers and supply chains.

We would be pleased to discuss your requirements with you. Please contact us.

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