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Compliance

Laven offers efficient and professional compliance services

Compliance is a fast-evolving area across the financial industry, especially in the world of asset management. Laven offers efficient compliance services to give you comfort that your Firm is complying with all the relevant regulations whilst maintaining a commercial perspective on the compliance work flow implemented.

Enhancing the existing compliance framework

Laven advises firms on how to comply with rules and act more ethically, as well as suggesting ways to enhance the existing compliance frameworks. Regarding incoming regulations, we want to ensure our clients are prepared for the implications and that they are aware of necessary steps that need to be taken in order to be compliant. Learn more about our compliance services below.

Ongoing compliance

With regards to ongoing compliance, we support clients through quarterly monitoring visits, review AML procedures, assist with MLRO reports and controllers and close links reports. We offer an agreed number of hours per annum of assistance for FCA compliance/regulatory queries. The DCA software underpins all of our ongoing consultancy and hence forms part of the package our clients receive with DCA access.

FCA applications and VoPs

We can assist you with the preparation of an FCA application and provide you with ongoing compliance support once the licence has been granted. We also offer support with other FCA-related forms and authorisations including Variation of Permissions (VoPs).

Registration Complexity AIFMD

AIFMD Distribution Registration

Laven can assist with regulatory registrations for fund distribution, offering document amendments to ensure compliance with the AIFMD under the national private placement regime (NPPR) and country specific disclosure requirements, including sign-off from our local legal partners.

Appointed Representative Hosting Platform

Laven Advisors is Laven’s regulatory umbrella where firms can utilise Laven’s FCA permissions to carry out regulated activities such as advising and arranging deals in investments. Laven can also accommodate those firms looking to manage money through managed accounts or as a sub-investment manager.

Online Compliance Training

Digital Compliance Assistant

Our in-house developed Digital Compliance Assistant (DCA) is designed to centralise and streamline the compliance work flow by reducing human error and creating both time and cost efficiencies. The DCA includes a maintained compliance manual, a quarterly monitoring plan, access to compliance registers and employee-specific records and attestations.

This is our proprietary on-boarding software accessible online, which acts as a portal designed to assist firms with their gathering of information prior to engaging with any new client.

KYC Assistant

This is our proprietary on-boarding software accessible online, which acts as a portal designed to assist firms with their gathering of information prior to engaging with any new client. The KYC Assistant (KYCA) is built so each potential client user has their own account to complete the on-boarding process, saving time to licensors or the software whilst ensuring complete process control.

On the US side, we offer to carry out SEC Registrations and ongoing compliance for US firms or UK firms with a US presence.

SEC Work

On the US side, we offer to carry out SEC Registrations and ongoing compliance for US firms or UK firms with a US presence.

Project-based work

Laven can assist with any bespoke project-based work related to compliance and regulation. Recent project-based work includes MiFID II implementation, GDPR policies, GDPR impact assessments etc.

If you need a leading light to guide you through the European financial regulation maze, this is the address for you.
Roman Pelka
Great consultancy shop with highly valuable people and global coverage. Highly recommended.
Gabriel Kurland
Laven Partners are a pleasure to work with, the team is always proactive and positive, and their technology solutions are best in class.
Max Hilton

Laven is your constant in a fast-developing industry

We provide support to make sure your company stays up to date with the latest rules and regulations.