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Modern Office Building

MERGER AND ACQUISITIONS

We offer comprehensive regulatory support to firms engaged in acquiring, consolidating, or selling financial services businesses. Whether working independently or as part of a team of advisors, we are dedicated to facilitating successful transactions.

 

Throughout the M&A lifecycle, we assist firms in navigating regulatory challenges:

Pre-transaction Due Diligence:

We conduct risk-based, commercially focused regulatory due diligence for private equity managers and consolidators worldwide. Our in-depth assessments evaluate a target firm's compliance systems and controls against regulatory standards, not only identifying current compliance issues but also anticipating emerging risks and regulatory trends.

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Back Book Remediation:

Our team is adept at investigating and remediating historic issues related to a target firm's products or services, including concerns regarding anti-money laundering documentation, suitability records, or sales practices.

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Prudential Consolidation:

We can either directly or through our network of specialists provide expert guidance on the impact of mergers or acquisitions on capital and liquidity requirements, particularly when merging firms with different prudential rules. Our comprehensive approach includes analysing governance documents such as ICAAPs, ILAAPs, ICARAs, and wind down plans to ensure regulatory compliance.

 

Change in Control:

We are able to facilitate the change in control process required for M&A transactions involving financial services firms in the UK, providing assistance with authorisations and variation of permission processes as necessary.

 

Updating Policies and Procedures:

We offer expertise in drafting and reviewing policy documents, leveraging our experience to ensure compliance with current regulatory standards while adopting a pragmatic approach to policy updates.

 

Culture and Governance:

We help firms prioritize culture and governance post-merger, reviewing governance structures and frameworks to embed the right culture and set the tone from the top.

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