Area of focus

Regulatory Due Diligence

Robust regulatory due diligence helps you to understand the potential and actual risks involved when entering into a business relationship with the target financial institution, the likelihood of these risks materializing, and the potential impact on your business.

Download PDF

Representative experience

Assisting with large-scale due diligence, investigation, and reviews for all types of transactional activity.

Supporting and advising in respect of compliance and conduct risk reviews in preparation for regulatory visits and information requests.

Analysis of historical client files at a targeted client, both sales and complaint related, to ascertain the potential inherent risks.

Media mention

Transparency of Beneficial Ownership Clashes With UK Privacy Laws

18 January 2023

The Register of Overseas Entities (ROE) came into force in the U.K. on August 1, 2022, via the Economic Crime (Transparency and Enforcement) Act 2022 (ECTEA). The register aims to help...

Sponsorships and Speaking Engagements

2022 Association of Corporate Counsel Annual Meeting | ESG 360° Workshop: Assessing, Understanding, and Improving Your ESG Performance

24 October 2022 | 4:30-6:00 p.m. (PDT)

Key contacts

Lisa Davey

Principal Consultant
London

All practitioners

Regulatory Due Diligence

Representative experience

Transparency of Beneficial Ownership Clashes With UK Privacy Laws

2022 Association of Corporate Counsel Annual Meeting | ESG 360° Workshop: Assessing, Understanding, and Improving Your ESG Performance

Key contacts

Related practices