Abstract Marbles

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 poses several imminent threats to corporate finance firms that passport their services out of the UK. On top of this, firms will have to comply with the new UK prudential regime for investment firms (IFPR) and adopt to the various provisions including new rules on liquidity 1 January 2022 onwards.

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. 

We are proud to have recently worked with a corporate finance firm that obtained a regulatory license ahead of benchmark timings following a very successful licencing application prepared by us.

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How Pillar 4 Can Help

Authorisation

         Pro bono initial assessment of your authorisation aspirations and guidance on regulatory  permissions

         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

London City

Our top tips for investment firms...

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Steps to achieve FCA authorisation...

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Authorisation options (Licence options) for investment firms...

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See more of our Insights here...

Questions?

+44 (0) 207 459 4607

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Copyright @ 2020 Pillar 4 Consultants Ltd.
Company registration number: 12547364
Registered address; 56 Katie Court, London, England, United Kingdom E16 1XS
Business address:  1 Royal Exchange Avenue, London, England, United Kingdom  EC3V 3LT
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