Securities law

Securities Law Legal Advice

Anyone wishing to offer shares or any other form of securities to another person has to ensure that they fully comply with complex and weighty UK securities laws. Failure to do so will often constitute a criminal as well as civil offence. This is an area of law that is technical and complex – we aim to guide clients through it as clearly as possible to enable them to achieve their objectives.

Our experience in securities law

The corporate and commercial teams at Irwin Mitchell have advised on a wide range of matters requiring compliance with UK securities laws, from offering shares and/or loan notes and warrants, to the public both off market and on Plus Markets, the AIM Market, the Full List of the London Stock Exchange and as UK Counsel to companies seeking listings on foreign stock exchanges. We have also advised on various areas of regulatory compliance for clients in the insurance and financial services industries.

About our work in securities law

UK securities laws, in particular the Financial Services and Markets Act 2000 (FSMA), have a wide ambit and can often be applicable in circumstances that you may expect to be exempt, such as offering shares (as opposed to share options) to a large workforce.

If you are considering offering anyone shares, loan notes, warrants, debentures or any other form of securities, we can help you quickly establish whether or not you can take advantage of an appropriate exemption under FSMA. If you are not exempt, we will advise you on the best course of action to take to achieve your business’s objectives.

Similarly, if you are seeking to promote the sale of any securities you should also seek advice, as again this is caught under a Financial Services and Market Act and may be prohibited, unless you are able to take advantage of a relevant exemption.

Call us now on 0870 1500 100 to arrange a consultation, or use the links above to drop us a line.