Regulatory Risk Evaluation

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RK&O’s regulatory risk evaluation attorneys help our clients evaluate and mitigate risk when considering a business combination with a regulated entity. We draw on our past public service as former regulators, our deep subject matter knowledge of the regulations affecting the financial services and securities industries, our compliance expertise and our experience as litigators, corporate advisers and transactional lawyers when conducting due diligence on behalf of our clients. 

Our expertise extends beyond simple legal document review and financial analysis, as we undertake a multi-dimensional evaluation of our client’s target business, focusing on the quality of its management, its compliance orientation, the tone at the top, the nature of its internal controls, the quality, effectiveness and scalability of its compliance and risk management processes, and its legal and reputational risk tolerances.

With this information in hand, we help our clients determine an appropriate valuation for the target’s assets. We also help our clients understand whether the target’s compliance and risk management infrastructure can support business expansion or will require bolstering following the completion of the transaction. We pride ourselves on our ability to identify and explain potential red flags to our clients, so they can confidently step away from risky transactions at an early stage, saving substantial cost and averting potential reputational risk.