In this practical post-event webinar, our financial services specialists at Myerson Solicitors, led by Chris Moss and Olivia Sturgess, explore the key legal and regulatory considerations involved in buying or selling an Independent Financial Adviser business.
Focusing on regulated transactions, this session provides clear guidance on structuring deals, navigating regulatory permissions, and managing risk throughout the transaction lifecycle.
What you will learn
- The legal and structural considerations when dealing with regulated businesses, including LLPs, partnerships, sole traders and limited companies
- How Financial Conduct Authority requirements apply to transactions, including change of control thresholds and consent processes involving the Financial Conduct Authority
- The differences between asset and share sales, including key issues such as book of business transfers, TUPE implications, contractual arrangements, debt allocation and clawback risks
- How to manage successor practice risks, including claims exposure, indemnities, escrow arrangements and insurance considerations
- Key post-completion obligations, including ongoing covenants, regulatory oversight, transparency requirements and financial settlements
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Chris Moss
Partner
Chris has almost 30 years of experience acting as a Corporate and Commercial solicitor and is head of the Financial Services Sector at Myerson. Chris was the main lawyer portrayed in the Netflix film "Bank of Dave". He has specialist expertise in mergers and acquisitions, joint ventures, and business restructuring.
About Chris Moss