Today’s complex and constantly changing regulatory environment provides significant challenges to all investment businesses. This is particularly the case for boutique investment firms which often have no dedicated internal compliance resource and which therefore need guidance through the regulatory maze to ensure that they remain, at all times, on the right side of the financial services laws.

It is imperative to the success of an organisation that it is in a position to understand and assimilate regulatory change in a way that ensures compliance with legislation and regulation, but also codes of practice, standards and industry guidance. Only with that knowledge can they assess the steps that need to be taken to reduce their exposure to risk.

We have built close relations with most international regulators, including:

• the FSA in the United Kingdom;
• the SEC in the United States;
• the CSSF in Luxembourg;
• the AMF in France;
• the MAS in Singapore;
• the SFC in Hong Kong;
• CIMA in the Cayman Islands;
• FINMA in Switzerland;
• the FSC in Gibraltar;
• the FSC in the British Virgin Islands.

Our team is driven by its unique ability to converge regulatory compliance consulting with integrated business solutions. Our fund formation and regulatory compliance services have been developed and continue to be refined in response to our clients’ needs, whether start-up managers or established firms, for practical solutions to their business needs.

Rather than a burden, we approach regulatory compliance as a positive component of business, taking the opportunity to improve operational processes and governance and, as a consequence, marketability for our clients. By combining experience from inside the regulatory bodies with tried-and-tested procedures, Laven Partners can project manage regulatory applications, filings and ongoing compliance, freeing up valuable resources so that you can ensure the rest of the business is given the attention it deserves.

These are just some of the services we offer to financial institutions to assist them in navigating their way through the myriad of regulatory requirements affecting them:

• Regulatory applications for authorisation in a number of jurisdictions;
• Advice on the impact of regulatory rules;
• Advice on compliance with anti-money laundering legislation;
• Drafting and negotiating compliant distribution and outsourcing agreements;
• Drafting compliant terms of business;
• Advising on financial promotions and other client facing documentation; and
• Designing compliance policies and procedures.

Please download our presentation on How Regulatory Compliance Can Help You Gain Investments, presented by Jerome Lussan at the Hedge Fund Start Ups Conference in London in June 2012.