City Based Legal Funding Provider

  • Posted on: 18 April 2018

A start up private equity backed enterprise based in the City required the appropriate authorisation to enable them to undertake lending for legal fees on an introduced basis.

Compliancy Services have supported from the initial concept development through to the submission of the application for permissions with the FCA. We undertook initial research with the firm to ascertain the necessary permissions and implications for those introducing business to them. We, also, supported in the product development process being party to working and steering groups with the executive board and external strategists to provide a compliance view prior to major investment in product lines. As such we have supported the adoption of a ‘can do’ attitude to compliance within the business which is now seen as a true ‘business enabling’ resource.

We are now supporting the firm and its senior executive team with ongoing and continuous challenge and guidance from a regulatory and strategic compliance perspective.

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