Services

Regulatory Due Diligence

Before you commit to a transaction, a partnership or a new platform relationship, GCA reviews the other side against the regulatory record — licence standing, sanctions, prior enforcement — so the decision is made with the facts in hand, not just what the counterparty states about itself.

This covers whether the counterparty's licences are what they claim, whether anything in its enforcement history would transfer risk to you, and whether the structure you are considering would itself need regulatory approval. You receive a clear statement of what we found and what it means for the decision in front of you.

Challenges

What our clients are dealing with

A clean licence on paper

A target's public standing with a regulator does not always reflect open investigations, informal warnings or conditions attached quietly rather than published.

Finding out after the deal closes

Regulatory issues that surface after a transaction has completed are far more expensive to fix than the same issues found during due diligence.

What GCA provides

Deliverables

  • Regulatory due diligence report

    A review of the target's licences, enforcement history and standing with its regulators, set out against the transaction you are considering.

  • Risk register

    A ranked list of the regulatory issues found, with an assessment of how material each one is to the deal.

  • Structuring input

    Advice on whether the proposed transaction structure would itself need separate regulatory approval.

Productised advisory

Defined engagements

Regulatory Due Diligence

  • Licensing exposure
  • Regulatory breaches
  • AML risk
  • UBO review
  • Tax exposure
  • Market legality
  • Enforcement risk
  • Payment exposure

Need advice on due diligence?

Request a Regulatory Due Diligence