Regulatory Due Diligence - Navigating the Compliance Landscape When Acquiring a Wealth Management Firm
Are you considering acquiring a wealth management firm?
As a regulatory consultant that has conducted regulatory due diligence for over 50 wealth management acquisitions in recent years, Thistle Initiatives is pleased to present our free webinar, “Regulatory Due Diligence: Navigating the Compliance Landscape When Acquiring a Wealth Management Firm”.
Watch this insightful webinar that will equip you with knowledge and strategies to avoid regulatory pitfalls during, and following, the acquisition process.
In this free webinar, we explored the following:
- Understanding the Importance of Regulatory Due Diligence
Learn why thorough regulatory due diligence is an important step in the acquisition process. Discover the risks associated with overlooking compliance matters and how they can impact your acquisition's success and your bottom line.
- Key Regulatory Considerations
Our experts provided an overview of the regulations that may affect your acquisition, including specific requirements.
- Navigating Compliance Landmines
Gain insights into identifying and mitigating potential compliance risks. Discover strategies to safeguard your investment and reputation.
- Best Practices and Case Studies
Get inspired by case studies and ideal practices. Learn from successful acquisitions that benefitted from excellent regulatory due diligence and integration.
SpeakersAlex Paschalis, Investments Director
With a CISI diploma in investment compliance and a CFA in investment management, Alex joined Thistle Initiatives in 2015 after two decades working with complex financial products.
Dorian Cameron, Senior Compliance Manager
Dorian has over 25 years’ experience in financial services, with particular emphasis on regulated financial advice. In addition to his degree in Economics and Business Administration, he is CISI Investment Advice Diploma, PCIAM and Pension Transfer qualified.
How can we help you?
Thistle Initiatives has supported firms for over 10 years as a trusted compliance and regulatory advisor. Since 2012 we have advised on acquisition transactions worth over £5 billion, both in the UK and internationally.
For more information about the event and how we can help you, please contact our specialist team now to schedule a free consultation. Get in touch with us by calling 020 7436 0630 or email email@example.com.