Due diligence

We’ll use our expertise to ensure due diligence is carried out effectively and your regulatory obligations are met. We provide an in-depth review of the target firm, representing you in a positive way while identifying any risks.

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A smarter move

Buying a business always involves a significant amount of due diligence, which can be stressful and nerve-racking.

The result of quality due diligence is that you’ll understand the risks in the company you’re potentially purchasing and be in a good position to assimilate the firm into your business. If you need support, our experts are available to you.

Our service

  • Consultants who’ll work with you to understand the business you’re buying and why.

  • A thorough review of the business’ documentation, including board minutes, policies and more

  • An expert’s perspective on the business’ strengths, weaknesses and key areas of risk

  • Checking the training and competence of employees at all levels and making recommendations

  • Insight into the various potential methods of sale at play and the related FCA requirements

  • Evaluating the outcomes of any contact with the FCA, including actions taken as a result

  • Assessment of the business’ management structure and controls from a compliance standpoint

  • Advice on the systems and controls in place and whether these are in line with the latest FCA guidance

What clients say

David Bashforth

It’s early days in our relationship with Vicky and B-Compliant, but my business partners and I have so far been very impressed with the service and technical knowledge provided. For the first time in a long time, we can see compliance in a more positive light, as a tool to improve our business as a whole.
Kate Barnard

B-Compliant seem to have the balance just right for small financial advisers like us from a support and price point. They offer on-site visits or remote help, both of which are extremely helpful. Vicky and her team offer a no-nonsense approach to compliance where what you see is what you get. Perfect!
Debbie Jukes

B-Compliant has delivered everything that we expected, and then some – even at short notice. I feel that they have our best interests at heart, and I have complete confidence in the guidance they provide. They have a flexible approach and a great work ethic.
William Stevenson

What we want from a compliance consultant is threefold: to keep our compliance programme both up to date and (more importantly) effective, to offer solutions and not point out problems, and, yes, to be fairly priced! We get all three from B-Compliant.


of clients believe working with us has helped or will help them to achieve their compliance objectives


of clients would recommend us to other firms or connections


of clients are very satisfied that we understand their regulatory requirements

Your questions, answered

The key to a smooth business sale is being able to anticipate any obstacles you may face. Are we the right people to help you do that? Find the information you need here.

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How experienced are your consultants?

Our directors each have more than 20 years’ experience in financial services and compliance, whilst all of our consultants have at least five years’ experience. Rest assured, you’re in safe hands.

Will you only help businesses of a certain size?

Not at all. However large or small the business you’re buying or selling, we can offer the compliance support you need. When you work with us, everything is tailored to your unique needs and budget.

Can you recommend a broker for my sale?

Yes, we work very closely with a firm that specialises in connecting buyers and sellers of financial services businesses. We’d be delighted to put you in touch with them.

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