Case Study
2 min read
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16/04/2025
We conducted regulatory due diligence that validated compliance integrity, helping complete a multimillion-pound exchange acquisition smoothly.
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1 min read
We performed a compliance review that addressed key weaknesses and positioned a European payments firm for successful acquisition.
We oversaw post-acquisition integration, harmonising frameworks and achieving regulatory consistency across e-money and MiFID entities.
Regulatory due diligence for a global private equity firm considering Series E investment in US-based payments firm
15/04/2025
We managed a full s166 review, addressing CASS and TOM concerns to secure FCA satisfaction and reinforce governance for an investment manager.
18/03/2025
We carried out an assurance review that streamlined policies, strengthened record-keeping and brought the investment company’s controls up to FCA standards.
Blog
3 min read
25/02/2025
Suitability – are your records up to date?
25/10/2024
Identification of vulnerable clients – is your firm meeting the FCA’s expectations?
4 min read
25/09/2024
Client re-categorisation rules: Key takeaways
21/05/2024
Interim update on FCA supervision of asset management and alternatives
