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Financial Services and Markets Act 2000

Financial Services and Markets Act 2000: Investment Transactions

Hogan Lovells is not authorized under the Financial Services and Markets Act 2000 (FSMA) but we are able in certain circumstances to offer a limited range of investment services to clients because we are members of the Law Society. We can provide these investment services if they are an incidental part of the professional services we have been engaged to provide. The investment services we are able to provide are described on this website. Arrangements for complaints or redress if something goes wrong are regulated by the Solicitors Regulation Authority of England and Wales. 

 

Our primary role is as legal advisor and it is not part of our role to advise on the merits of entering into investment transactions or exercising investment rights, or to act as a broker or arranger of transactions. When providing our services, we are entitled to assume that your decision to consider, discuss, or negotiate a proposed investment transaction, and any decision actually to enter into an investment transaction, is made only by you on the basis of your own assessment of the transaction, and any advice which you may receive from a person authorized under the FSMA. 

Nothing we write or say is to be construed as an invitation or inducement to engage in investment activity nor will we communicate that type of invitation or inducement for you. 

Financial Conduct Authority: Insurance Mediation Activities

Hogan Lovells is not authorized by the Financial Conduct Authority. However, we are included on the register maintained by the Financial Conduct Authority so that we can carry on insurance mediation activity, which is broadly the advising on, selling, and administration of insurance contracts. This part of our business, including arrangements for complaints or redress if something goes wrong, is regulated by the Solicitors Regulation Authority. The register can be accessed via the Financial Conduct Authority website.


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