FCA Compliance

FCA Authorisation & FCA Compliance Consulting

Over the years Laven Partners has dealt with countless FCA authorisations and applications. We provide a full range of FCA authorisation and AIFMD compliance services to funds, private equity firms and investment advisers. Laven Partners’ team knows the ins-and-outs of the FCA and has established deep connections within the relevant departments. Laven Partners’ FCA Authorisation and FCA Compliance consulting services include:

New FCA Application, including AIFMD Authorisation

Laven Partners adopts a pragmatic and methodical approach to the FCA auhtorisation process, investing time in getting to know the client, listening and learning until fully understanding their business.

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Laven Partners’ in-depth understanding of the AIFMD and close links with the FCA enables the team to tailor each application to the client’s specific circumstance. Laven Partners’ team deals directly with the regulator(s) to ensure that the FCA authorisation process is smooth and performed in a timely manner, providing clients with time to concentrate on the other essential elements of their business.

Once authorised, Laven Partners supports clients in achieving full FCA compliance through establishing:

    • FCA reporting
    • Compliance infrastructure
    • A compliance manual
    • Compliance monitoring programmes
    • Anti-money laundering procedures

AIFMD Variation of Permission

Firms already regulated by the FCA, which qualify as Alternative Investment Fund Managers (“AIFMs”), will need to file a Variation of Permission (“VoP”) form with the FCA in order to become an authorised full-scope or small AIFM. Read More As part of the application process, Laven Partners assists clients with preparation and implementation of AIFMD-compliant policies for the following functions:

      • valuation
      • liquidity management
      • risk management
      • remuneration

The advantages of using Laven Partners’ AIFMD authorisation service include:

      • Expertise – a global team of compliance experts, experienced in working with the various regulators
      • Personalised Service – we compile and tailor the VoP and FCA application to the client’s specific circumstance
      • Contact & Speed – we deal directly with the regulator, ensuring that the application process is completed professionally in a timely manner

Laven Partners’ Digital Compliance Assistant

Laven Partners’ Digital Compliance Assistant is an easy-to-use software that is built to assist financial firms with their regulatory compliance. It is designed to centralise, streamline and provide an audit trail for four important compliance functions: Read More

  • creation and maintenance of the firm’s compliance manual including an audit trail of changes
  • compliance monitoring designed to help firms stay on top of their compliance monitoring requirements
  • compliance registers that provide an active and up-to-date log of significant events and resulting actions taken
  • detailed internal audit to assess a firm’s compliance controls against regulatory requirements and industry best practices and where necessary generate suitable recommendations to ensure that the firm meets the desired standards.

Learn more.

Authorisation / Registration Ongoing Compliance Cross-Jurisdictional Compliance
FCA Authorisation Compliance Manual Updates EMIR
Variation of Permission ICAAP MiFID
AIFM Application Internal Audits UCITS
Compliance Training Compliance Training SEC & CFTC Compliance
Establishment of a Compliance Infrastructure Regulatory Reporting CSSF Compliance
Compliance Manual Ad-hoc Regulatory Projects Other EU Regulators

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