FCA Compliance

FCA Authorisation & FCA Compliance Services

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

New FCA Application, Including AIFMD Authorisation

Laven 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.

Laven’s in-depth understanding o Read More f the AIFMD and close links with the FCA enables the team to tailor each application to the client’s specific circumstance. Laven’s 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 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- Read More scope or small AIFM. As part of the application process, Laven 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 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

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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