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

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.
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.
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of clients would recommend us to other firms or connections

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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.

View all FAQs
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.

Sally Collie
Sally Collie
2022-07-07
Always receive excellent service from Vicky and her team at B-Compliant, they are a very knowledgeable team and make a point of knowing our business inside out in order to give us a high standard of support.
Richard White
Richard White
2022-07-06
I approached B-Compliant regarding helping us with our FCA application for an VoP Permissions application, right away I new that we had contacted the right people. Their attitude and positive approach was fantastic. Maria Fox-Leonard was fully informed in helping us prepare our responses back to the FCA and Jeremy Smith helped with his knowledgeable insight into the FCA and how to ask the right questions. We have now successfully received out VOP permissions and I would definitely recommend them to others.
Jonathan Smith
Jonathan Smith
2022-06-27
Having worked with B-Compliant Ltd for the past 2 years. Vicky, Simon and Annabel have changed not only our business outlook, but also our attitude toward compliance! Their positive, proactive approach has helped us immeasurably in understanding the complexities of the FCA and regulation. They are always available with answers in plain English and more importantly, solutions! Thank you
Asmus Ohle
Asmus Ohle
2022-06-27
We have worked with Jeremy and his team for the last four years. They initially guided us through the FCA application process and since approval have provided us with compliance advice. They set out the to dos very clearly, communicate efficiently and ensure that all deadlines are met. They also make sure that we understand what is required from us as a newly regulated firm and explain everything in detail and in a way that we understand it. I would definitely recommend them.
jacqui davidson-slack
jacqui davidson-slack
2020-02-11
I met Vicky through a professional organisation and instantly established how knowledgeable and experienced she is in relation to compliance. Given the importance of this function within a regulated firm, Vicky provided me with some initial guidance without commitment or cost. I established that the service proposition could be tailored to exactly what I needed. Without exception staff and management have been extremely supportive and held my hand through a highly legislative process. I feel save in the hands of B-Compliant. Top Class Service. First Class Knowledge. Took all the worry from me and i now feel safe in their care. For a highly personalised service which is truly value for what is spent, you really do need to speak to Vicky and her team. Thank you !
David Brown
David Brown
2019-11-25
I would recommend B-Compliant to any financial adviser looking for compliance support and help with their business
Alan Whittle
Alan Whittle
2019-08-27
Fantastic FCA compliance consultancy. Very friendly, expert staff. Would highly recommend.

Meet the team

You can rely on our experts to deliver dedicated, personable compliance support. Say hi and learn what we can do for you.

More about us
Vicky Pearce
Director and Compliance Consultant
Jeremy Smith
Director and Compliance Consultant
Rachel MacRae
Compliance Consultant
Maria Fox-Leonard
Compliance Consultant
David Morgan
Compliance Consultant
Joanne Smith
Compliance Consultant
Rebecca Jackson
Compliance Associate
Hannah Arnold
PA to Directors
Tina Jennings
Advisory Board Member

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