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David Hicks



Financial Services


CorporateFinancial Services & Funds

David advises both institutional and independent clients on constitutional and governance arrangements, restructuring, mergers & acquisitions and raising funds.

He specialises in corporate advisory, corporate finance and transactional work, particularly within the financial services and wealth management sectors, and for investment trusts.

His work for quoted companies includes leading the firm’s corporate compliance, annual reporting and general meeting work for listed clients.

David advises listed, AIM traded and other public and private companies on various company law and compliance matters, including in relation to the Companies Act 2006, Listing Rules, Disclosure and Transparency Rules, UK Corporate Governance Code and AIM Rules.

He advises investment trusts on fundraising and other matters, including a bonus issue of subscription shares for Fidelity Japanese Values plc which closed in summer 2014.

David acts for a number of Limited Liability Partnerships on structuring, constitutional and governance arrangements, particularly within the wealth management sector.

He has advised on strategic and complex restructuring and transactional matters for wealth managers, insurers, insurance brokers and other authorised firms and individuals, both within the UK and internationally.

David is admitted to practise in England and Wales.


  • Disposal of the majority of the life assurance business of Ecclesiastical Life Limited to Engage Mutual Assurance through a court sanctioned scheme under Part VII of the Financial Services and Markets Act 2000
  • Insurance brokers: work has included the strategic acquisition by Ecclesiastical Insurance Group plc of insurance broker Lycetts Holdings Limited, and acting for Belmont International on its sale to Arthur J. Gallagher & Co
  • Wealth managers: work has included both constitutional and transactional advice, including the sale of Heartwood Wealth Group to listed Swedish bank, Svenska Handelsbanken
  • Demerger by a global consultancy firm of its ventures business, by way of a court sanctioned Scheme of Arrangement under the Companies Act 2006 and s110 demerger