Compliance and Regulatory Oversight


Your Partner in Compliance

The burden on corporate finance firms & businesses to ensure good corporate governance and regulatory compliance is increasing.  Given the complicated nature of UK Markets and the recent regulatory launch of MiFID II, First Sentinel Corporate Finance works with clients to make sense of the rules, which ones apply, and when.  When advising and/or arranging services in relation to M&A and debt or equity fundraising, First Sentinel ensures that all transactions are given regulatory oversight and review.

First Sentinel Corporate Finance Limited | Company No. 07832675 | FCA No. 760668 | Authorised and regulated by the Financial Conduct Authority

First Sentinel PLC (NEX Exchange Growth Market) | Company No. 10183367 | FCA No. 760350 | Small Registered UK AIFM regulated by the Financial Conduct Authority

First Sentinel Advisory Limited | Company No. 10732869 | First Sentinel Advisory does not provide any services that constitute “reserved activities” within the meaning of the Legal Services Act 2007 and is accordingly not regulated by the Solicitors Regulation Authority.

blurred office person