Industries ｜ Wholesale Investment Firms ｜ Corporate Finance
OUR EXPERTISE
Strategic Compliance Solutions: Navigating Regulatory Landscapes for Corporate Finance Success
Our Corporate Finance clients include large multinationals, boutique firms, and specialist advisory entities. We guide new start-ups through the authorization process and ensure that compliance is seamlessly integrated into their business operations. Our support extends to the daily compliance requirements of firms, helping them seize commercial opportunities and navigate regulatory obstacles. We offer both secondment and advisory support to meet the diverse needs of our clients.
Our consultants boast a rich background in the investment banking sector, encompassing operational and client-facing advisory roles, as well as positions as in-house Compliance Officers, MLROs, and compliance consultants. With decades of combined experience, they excel in interpreting and understanding regulatory obligations. They are well-versed in the critical regulatory risks encountered by corporate finance clients, including governance, conflicts of interest, business conduct, financial crime, market abuse, and regulatory disclosures.
HOW WE HELP
Authorisations and application services
We support firms with a full suite of authorisation and application services.
Authorisation & Applications
With expertise in financial sector applications, we ensure compliance with regulations and assist clients in preparing thorough authorization submissions.
Variation of Permission
If you are an authorised firm looking to change your regulated activities, start a new business line or add new product/client types to your business line, we can support you with your variation of permission (VOP) application.
Change in Control
If you plan to acquire or enhance control over a regulated entity, you must submit a Change in Control (CiC) notification and obtain approval from the regulatory authority beforehand. Our team can help you with this process.
Wind-down planning
Regulated firms must understand the practicalities of winding down their business. We have extensive experience in guiding firms through this process.