Regulatory due diligence

Overview

We undertake regulatory due diligence for clients proposing to acquire regulated firms or businesses. We also undertake vendor due diligence.

We believe that it is crucial to understand our client's specific requirements, focus areas and risk appetite at the outset. We will then perform the required level of regulatory due diligence and report in a clear and focused manner, highlighting issues of particular concern. Following the due diligence exercise, we will make recommendations as to the desirable protections to be sought in the sale and purchase documentation. If necessary, we will assist in negotiating these provisions.

Our range of services includes:

  • understanding client's specific requirements, focus areas and concerns at the outset;
  • advising on change of control issues and applications;
  • undertaking focused regulatory due diligence;
  • conducting of interviews with relevant personnel from Target or Target's group;
  • production of preliminary 'red flag' report, where required;
  • production of full regulatory due diligence report;
  • follow-up enquiries; and
  • input into sale and purchase documentation (in particular, conditionality and regulatory representations and warranties).

Recognition

  • "A refreshing (and extremely rare) mix of technical excellence and practical know-how - a very impressive team."

    General Counsel, Financial Institution

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