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Compliance

Laven offers efficient and professional compliance services

Compliance is a continually evolving area across the financial industry. Laven offers outstanding compliance services giving you the confidence that your firm meets all regulatory obligations whilst maintaining commercial awareness.

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Enhancing the existing compliance framework

Laven advises firms on how to comply with rules in order to create efficiencies. We can work with you at any stage of your firm's life cycle, from the launch phase, through to growing your business or verifying the compliance of potential partners or acquisition targets.

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FCA applications and VoPs

We can assist you with the preparation of an FCA application enabling you to focus on other important elements of setting up a new business. We can also provide you with ongoing compliance support once the license has been granted. If you are looking to upgrade, or adjust your permissions, 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 in over 17 jurisdictions in the EU.

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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.

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Ongoing compliance

Laven supports clients through periodic monitoring visits, reviews of AML procedures, assisting with MLRO reports and controllers and close links reports. Our solutions also include ad hoc assistance for any day-to-day compliance/regulatory queries that may arise. Our software underpins all of our ongoing consultancy work and hence forms a unique baseline, from which we can offer the best and most appropriate consultancy for each client.

Online Compliance Training

Compliance Software

Our software the Digital Compliance Assistant can be offered as a stand-alone support solution or as part of our ongoing consultancy to give clients the best compliance infrastructure.

The suite of software includes the Client Due Diligence bundle which is fully customisable to streamline any client onboarding process, ensuring that the correct level of due diligence is done whilst maintaining oversight.

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

We offer to carry out US registrations and ongoing compliance for US firms or foreign firms with a US presence.

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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, SM&CR implementation etc.

Online Compliance Training

Compliance Training

Laven offers a comprehensive list of both onsite and online regulatory training programmes. Our onsite training sessions are highly interactive and ensure your employees are aware of exactly what the requirements are, and how to remain compliant with relevant regulations.

Online Training is accessible through an online training portal with the ability to pause and resume at any time allowing for maximum flexibility. Our Online Training is also trackable allowing compliance personnel to monitor the training progress of staff members.

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.