Due Diligence

We provide risk based commercially focused regulatory due diligence reports which anticipate emerging risks and ensure a confident and informed business acquisition process.

Comprehensive regulatory risk assessments

We conduct a comprehensive review of your target firm's compliance systems, prioritising anticipation of emerging risks. Our approach focuses not only on current compliance issues but also on future regulatory costs, encompassing redress exercises, customer complaints, regulatory actions, and the development of a suitable control framework within the acquired firm.

By delving into the proposed acquisition's details, including its structure and alignment with your business model, we ensure thorough due diligence that is reliable and tailored to your needs.

  • Comprehensive business model and risk analysis: strengths/weaknesses assessment, industry benchmarking, and risk profiling using business registers.
  • Senior management assessment, including alignment to SMCR, and resource/skillset mapping for regulatory duties, ensuring effective governance and responsibilities.
  • Comprehensive evaluation encompassing risk governance, committees, company culture, oversight activities, diversity, inclusion, three lines of defence, and risk/compliance function review.
  • Controls and compliance assessment, including file reviews and AML risk framework.
  • Training and competency evaluation, covering SMCR checks and permissions review.
  • Financial and prudential compliance review, examining capital position, FCA interactions, and Consumer Duty compliance.
  • Identify areas for investment, quantify expected capital outlay, and provide support for indemnities negotiation with an action plan for future business improvements.
  • Ultimately, consultants who’ll work with you to understand the business you’re buying and why.

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Compliance Services

We provide practical and commercial regulatory advice to simplify your compliance efforts. Designed to protect your business, lighten the load and help you spot opportunities.

Bench Strength

Our expertise and experience is on hand to help you empower your business. We have a bench of consultants at your service to help you tackle your regulatory challenges.

RegTech Solutions

Because of our extensive client side experience our platform provides access to a range of tried and tested regulatory technology solutions that will bring efficiencies to your business.

Partner Matching

We have an expert partner panel that we can seamlessly connect to your business. Because we understand your needs we can match you to the companies who are best sector.

Join the team and become one of our Bench Consultants
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