Overview

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Corporate finance firms or corporate finance departments in integrated financial service firms are subject to many of the same Conduct of Business rules as pure asset managers, brokers or dealers. The differences lie in the more drawn out process of client acquisition and mandate performance. A lower profile results in less likelihood of enforcement action and reputational damage.

CCL addresses the particular requirements of typical corporate finance operations by our focus on client take-on procedures, suitability assessments of transactions and conflict of interest controls including Chinese Wall procedures. We also address market abuse prevention controls and Suspicious Transaction Reporting procedures.

The disciplines in corporate finance firms are usually well-established and enforced by experienced bankers. Intra-departmental communication is fundamental in these businesses although the requirements of client confidentiality, insider information controls, personal account dealing and Restricted Lists must be observed.

CCL works with a wide variety of corporate finance clients ranging from small boutiques to large departments within investment banks. We approach all of our clients with tailored and proportionate systems for managing their compliance risk exposures.

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