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David Hicks, Partner

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

Summary

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 and advising investment trusts on fundraising and other matters.

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. 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 a member of the Law Society’s Company Law Committee, the Quoted Companies Alliance Legal Expert Group and the Quoted Companies Alliance Corporate Governance Expert Group. He is actively involved in various legal developments within the UK and Europe, including the PSC Regime and Prospectus Regulation.

David is admitted to practise in England and Wales.

Experience highlights

  • Disposal of Crown Agents Bank and Crown Agents Investment Management, which provide financial services to facilitate development, trade finance and investment management for governments, NGOs and financial institutions, to Helios Investment Partners
  • 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 and investment managers: work has included both constitutional and transactional advice, including the sale of Mayfair Capital Investment Management to Swiss Life and the sale of Heartwood Wealth Group to listed Swedish bank, Svenska Handelsbanken

Recognition

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