Structured Assurance in Complex Environments
Finova operates in environments where regulatory, legal, and reputational risk must be managed with care.
Our governance and compliance framework exists to support disciplined engagement, protect counterparties, and ensure that participation in complex, off-market contexts is conducted lawfully and responsibly.
Governance does not replace judgement or principles.
It provides the structure that allows them to be applied consistently.
A Proportionate, Risk-Based Approach
Finova applies governance and compliance in a manner proportionate to context, jurisdiction, and risk.
We do not adopt a one-size-fits-all model. Instead, we recognise that different transactions, counterparties, and geographies require different levels of scrutiny and control.
This risk-based approach allows:
- appropriate verification without unnecessary friction,
- clarity around expectations at each stage of engagement, and
- early identification of misalignment or unacceptable risk.
Multi-Jurisdictional Awareness
Off-market engagement frequently spans multiple legal and regulatory regimes.
Finova operates with awareness of, and alignment to, applicable frameworks across key jurisdictions, including the United Kingdom, United States, European Union, and United Arab Emirates, as well as other jurisdictions where engagement may occur.
Jurisdictional considerations are treated as realities to be managed, not obstacles to be avoided.
Financial Crime and Verification
Financial crime risk is inherent in high-value, cross-border environments.
Finova approaches verification and financial crime risk through:
- clear expectations around lawful conduct and authority,
- proportionate verification of identity and role, and
- disciplined assessment of source and legitimacy.
Engagement does not proceed where financial crime risk cannot be adequately understood or mitigated.
A fuller overview of this approach is set out in Financial Crime & Verification.
[Financial Crime & Verification]
Sanctions and Regulatory Alignment
Sanctions exposure presents material legal and reputational risk.
Finova expects all engagement to be compatible with applicable sanctions regimes and regulatory obligations. Alignment is assessed early and revisited as necessary throughout engagement.
Detailed treatment of jurisdictional alignment and sanctions considerations is addressed separately.
[Sanctions & Jurisdictional Alignment]
Market Integrity and Professional Standards
Governance also supports the preservation of market integrity.
Finova applies standards and safeguards designed to:
- prevent misrepresentation,
- maintain clarity of authority and roles, and
- avoid uncontrolled circulation of information or opportunities.
These standards reinforce, rather than duplicate, the principles outlined in Our Approach.
[Market Integrity & Professional Standards]
Policies and Reference Materials
Finova maintains a suite of policies that articulate its governance and compliance posture in more detail.
Public policy summaries and reference materials are available in the Downloads section. These documents are principles-based and provided to support transparency and due diligence.
[Policies & Downloads]
A Supporting Framework
Governance and compliance at Finova are not ends in themselves.
They exist to:
- protect legitimate counterparties,
- reduce avoidable risk, and
- enable credible engagement in complex environments.
Where alignment exists, governance supports progress.
Where it does not, restraint is applied.