Corporate Finance
Although corporate finance business is subject to a relatively light degree of regulation, requirements do of course apply – and, in the context of a firm carrying on corporate finance business together with broker dealer activity, recognition of the importance of such things as "Chinese walls" and, generally, the need to address conflicts of interest is a fundamental aspect of the regulatory regime.
We have worked with a number of corporate finance houses – from large international conglomerates to new start-ups. We understand the sector and are able to advise how such businesses can remain compliant with the rules, whilst functioning optimally and efficiently in what is a light touch environment.