Regulatory Due Diligence

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 Anti-Corruption Report

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)

Regulatory Due Diligence

Representative experience

Transparency of Beneficial Ownership Clashes With UK Privacy Laws Anti-Corruption Report

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

Key contacts

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