Legal Services

Complyport provides specialist legal support to financial services firms operating in the UK, EU, UAE and international markets. Our legal services are closely aligned with regulatory requirements, ensuring that clients receive practical, commercially focused advice that reflects the expectations of the relevant supervisory authorities. 

Legal Opinions 

We prepare independent legal opinions across a range of regulatory and corporate matters, including authorisation requirements, regulatory perimeter assessments, cross-border permissions, capital adequacy considerations, governance frameworks, and conduct of business obligations. Our opinions are tailored to the specific jurisdiction and business model of each client and are drafted to meet the standards expected by regulators, counterparties, banking institutions and other stakeholders. 

We also issue legal opinions in support of licence applications, cross-border activities, safeguarding arrangements, AML/CTF compliance frameworks, and the provision of regulated services. Where required, we coordinate with local counsel in other jurisdictions to ensure accuracy and consistency. 

Regulatory & Corporate Legal Advisory 

Our team advises on the drafting and review of shareholder agreements, partnership agreements, constitutional documents, client agreements, terms of business, outsourcing agreements, and internal policies and procedures. We ensure that documentation is consistent with applicable legislation, regulatory rules, and relevant supervisory expectations in each jurisdiction. 

Transactional & Structural Support 

We provide legal support in relation to corporate restructurings, mergers and acquisitions, change-in-control assessments, and group structuring. This includes regulatory notifications, due diligence support, and liaison with supervisory authorities where required. 

Ongoing Legal Support 

Complyport offers ongoing legal advisory services to assist firms in responding to regulatory developments, supervisory queries, remediation programmes, and enforcement-related matters. Our approach is proactive and solutions-focused, supporting firms in maintaining compliance while achieving their commercial objectives. 

For further information on our legal services across jurisdictions, please contact our team.