Transactions involving regulated businesses require more than financial and legal due diligence. Ocorian's specialists assess regulatory compliance, governance arrangements and control frameworks to help you identify potential risks before completing an acquisition, investment or business expansion.
Our due diligence team provides practical insight into the regulatory health of a business, helping you understand potential liabilities, identify areas requiring remediation and make informed commercial decisions.
How does Ocorian support regulatory due diligence?
Regulatory compliance assessments
Reviewing regulatory permissions, registrations and compliance arrangements to identify regulatory risks.
Governance and control reviews
Assessing governance structures, policies, procedures and internal control frameworks.
Regulatory filings and reporting
Reviewing regulatory filings, reporting obligations and historic compliance to identify potential issues.
Financial crime assessments
Evaluating anti-money laundering (AML), sanctions, customer due diligence and financial crime controls.
Operational risk reviews
Assessing operational resilience, business continuity and wider compliance infrastructure.
Remediation planning
Identifying issues requiring remediation and providing practical recommendations to support integration or post-transaction improvements.
Integration planning and execution
Finding the value from the deal through synergies and efficiencies in your combined risk and compliance departments.
Our approach
Understand the transaction
We work with your team to understand the proposed acquisition, investment or business expansion and define the scope of the review.
Assess regulatory risk
Our specialists assess the target firm’s regulatory framework, governance arrangements and compliance controls to identify material risks.
Deliver practical findings
We provide clear reports highlighting key risks, potential regulatory exposures and recommendations to support commercial decision-making.
Support implementation
Where required, we help develop remediation plans and support integration activities following completion of the transaction.
Frequently asked questions
An independent assessment of a target business's regulatory compliance, governance and control frameworks, carried out before an acquisition, investment or expansion so you can identify risks and liabilities before completion.
It focuses on regulatory permissions, governance, financial crime controls and reporting obligations - the areas financial and legal reviews typically do not cover - to reveal regulatory risks that affect valuation, integration and post-transaction remediation.
Regulatory compliance assessments, governance and control reviews, regulatory filings and reporting, financial crime controls, operational risk, remediation planning and integration support.
Let’s talk
Contact us and a member of our team will be in touch.
If you would like to speak to someone in regards to media please email: [email protected]
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