Corporate Finance &
Venture Capital
Corporate finance and venture capital firms typically connect investor to investee or vice versa and engage in arranging activity, many times providing advice limited to the deals in question. As such, most corporate finance and venture capital firms apply a ‘corporate finance' or 'venture capital' requirement/limitation to their regulatory permissions which allow for less stringent regulatory requirements around promoting and conducting business with clients.
Brexit posed several threats to corporate finance firms that passport their services out of the UK. On top of this, firms will have to comply with the UK prudential regime for investment firms (IFPR) and adopt to the various provisions including new rules on liquidity that came into force in January 2022.
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Our Consultants have worked with several corporate finance firms throughout their careers and understand the business models and regulatory implications including regulatory exemptions available to corporate finance and venture capital firms.
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We are proud to have worked with corporate finance firms that obtained their regulatory licenses ahead of benchmark timings.
How Pillar 4 Can Help
Authorisation
> Full application support on a project managed basis from start to finish
> Guidance on navigating the FCA’s current approach to corporate finance activity including key concerns
> Support in formulating the right governance structure for your firm
> Staff skills and competency assessments
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IFPR implementation
> Pro bono initial assessment of the impact of IFPR on your business
> Financial modelling and full implementation of the IFPR and shift from ICAAP to ICARA
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Risk management
> Developing integrated risk management, capital monitoring, and reporting tools
> Developing suitable pillar 2 approaches
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On-going compliance support
> Providing specialist advise
> Revamping compliance monitoring programmes to something practical and workable in line with regulations
> Providing risk based on-going compliance monitoring and testing
> Support in regulatory reporting and capital adequacy reporting
