Capital Markets Regulatory and Sponsor Roles 

In an environment characterized by increasing regulator oversight and intervention, clients expect their financial advisors to maintain the licenses and approvals needed to facilitate their successful closure of transactions in the capital markets. At KPMG, we maintain a number of licenses and approvals conferred by the major global regulators and legislatures. These may be held either by individual professionals or by member firms in our network, as the circumstances require.


Tom Franks

Tom Franks

Global Head of Corporate Finance

+44 (0) 20 7311 1000

Accordingly, designated member firms or professionals are able to act as sponsors, as nominated advisors, as approved or authorized persons and as broker dealers. With these licenses and approvals, we undertake a range of capital markets regulatory and sponsor roles in support of our firms’ clients’ transactions.


Our capital markets role may involve:


  • tendering a fairness opinion in a public document filed with the regulator
  • acting as offering agent in a public merger, takeover or take private deal
  • providing a related parties opinion in a filed public document
  • acting as sponsor, nominated advisor or listing agent in an initial or secondary offering.


Typically, a KPMG member firm undertakes capital markets regulatory and sponsor roles as part of a broader financial advisor engagement. But we will also perform these roles alongside a client’s retained financial advisor. For example, where additional objectivity or independence is required or where a client or its retained financial advisor seeks additional advisory assurance in a transaction, KPMG can satisfy that requirement or to provide the relevant assurance as part of a wider team.