The regulatory burden on corporate finance firms of all shapes and sizes is increasing. The FCA shows signs of being more judgement-based, intrusive and interventionist than ever before. And this means you need to do the right thing.
We work with lots of corporate finance firms, helping them to make sense of the rules that apply. Our clients include firms who offer advising and/or arranging services in relation to M&A, management buy-ins and buy-outs and debt or equity fund raising.
We often start our relationships with corporate finance firms by helping with FCA authorisation. We can advise on whether particular activities need to be regulated, financial promotions, conflicts of interest, market abuse and inside information, best execution and use of dealing commission policies, and compliance with UKLA requirements.