Strong compliance functions support trusted corporate finance markets

Corporate finance firms help businesses raise funding and implement strategic transactions, supporting investment and growth.This brings responsibility: clients need to be able to trust that firms will act with integrity and manage any conflicts of interest. That trust underpins effective wholesale markets activity.In our Regulatory Priorities Report, we said we would assess corporate finance firms’ compliance functions and their ability to challenge the business effectively. We surveyed 411 corporate finance firms about their compliance resources and activities, receiving 382 responses.