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How can we help?

Brokers Compliance Services

Laven provides a broad range of services for its Broker clients that can support a firm at any stage of its lifecycle, from startups to large international corporations. See a full list of services we offer below.

Our services provide investors with an independent review of an asset manager’s operations and investments.
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Our Approach

Our compliance team has over 40 years of experience within compliance functions both in-house, at regulated brokerage and investment banking firms and also out-house at regulatory organisations themselves. Our in-depth understanding of regulatory requirements and the everyday commercial realities of the industry are driven by direct experience in the regulatory environment tempered by an understanding of the way regulators think. This enables us to provide prompt, relevant and practical advice in a cost-efficient manner.

We can support on all client requirements - from assisting with responses to the increasing demands from Exchanges to the demands of Financial Crime legislation; from Product Governance through to Financial Promotions; from Market Abuse matters through to Regulatory Reporting as well as a broad range of other regulatory aspects.

Our expertise covers a wide array of financial products, from Equities, Bonds, Fixed Income, Futures and Options, CFDs, spread betting, Crypto Assets as well as packaged products.

Contact Us

We are here to help. Contact us today to find out how we can assist your firm.

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