We know that culture is almost always at the root of compliance issues. Armed with a unique business and culture lens, we shine a light into all corners of regulated businesses to identify risk and cultural misalignment. 

With us you’ll get a clear picture of the conduct, operational and reputational history and risks. So, whether you’re buying or selling, you’ll have the confidence of a fair and trustworthy acquisition price.

We’re the UK’s leading provider of regulatory due diligence. But our true value lies in our ability to connect the dots between compliance, culture and commercial success. We don’t just look at the permissions and legal set up, we quickly sniff out poor customer outcomes resulting from cultural drivers which can influence the acquisition value.

As a result, you’ll be better protected from regulatory risks and the chances of expensive rectification and section 166 reviews further down the line.

What we do

We’re completely flexible, so you can choose from a range of tailored options. So, whether you have specific concerns or want a detailed review, we dial up or down the level of scrutiny to meet your risk appetite and needs.

1. Choose your focus – Choose from deep dives into areas of specific concern, such as business model, controls environment or customer acquisition strategy. Or we can conduct a broader, more detailed review if required.
2. Apply a culture lens – As part of our due diligence process, we’ll deep dive into the target firm’s culture, looking at the key drivers of culture as outlined in the FCA’s framework for assessment: Purpose, Leadership, People, Governance and Approach to Customers. We’ll review each area in detail and report on the extent to which the firm’s culture is impacting outcomes.
3. Get transitional support – We can support your business integration plans, including ‘change in controller’ notifications, for a smooth transition.
4. Merge culture successfully – Having conducted the due diligence, we have a deep understanding of the firm’s culture. We are perfectly placed to help you merge the cultures of acquired firms with your own and ensure a smooth cultural transition.
5. Check your new customers are receiving good outcomes – Post-acquisition, we’ll conduct a review of a small cohort of files to check your new clients are still receiving the product and service they were initially led to expect

Download the infographic for more detailed information.

Regulatory due diligence in action

Discover how we’ve delivered successful regulatory due diligence solutions for our clients: