We are an investment manager ourselves, with more than £1.5 billion in assets under management we have been through numerous detailed due diligence reviews from significant international organisations, consulting firms and institutional investors.
That experience matters. We know what sophisticated investors ask because we have spent years answering the same questions ourselves.
We sit on both sides of the Due Diligence Table
Investors do not assess an opportunity from a factsheet alone
Our approach therefore starts before an introduction is made: understanding the investment, testing the proposition, reviewing operations and most importantly approving the financial promotion.
Once done, identifying the appropriate investor audience and preparing for the due diligence that follows.
Capital introduction is not just a distribution exercise.
Before promotional material is communicated, Finex LLP considers the investment proposition, the evidence supporting material statements, the balance of risks and benefits, the intended investor audience and the regulatory basis on which the communication will be made.
Where a financial promotion requires approval and Finex LLP is responsible for that approval within its applicable permissions and regulatory framework, it is reviewed and approved before circulation.
Financial Promotions (COBS 4.2.1R) — Done Properly
Efficiency and Compliance
Our work may also include recommendations in relation to particular investments. Where it does, that activity is undertaken within Finex LLP's relevant regulatory permissions, systems and controls.
We do not regard compliance as a footer added to a presentation after the fundraising process has started. The regulatory and due diligence work forms part of the process from the outset.