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Media Resources

Laven TV

To help support our clients and other regulated firms, Laven regularly produces video content answering the key and pressing questions that are affecting the financial services industry.

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ComplianceBytes by Laven - EP 5: Regulatory Hosting Platforms (with Seonaid Mackenzie)

Join Laven CEO Jerome Lussan in a candid discussion with Seonaid Mackenzie (Founder of Sturgeon Ventures) on the Regulatory Hosting/Umbrella space in the UK and developments in how the FCA is approaching those firms.

Check out the Audio Version Here

ComplianceBytes by Laven - EP 4: Investment Firms Prudential Regime "IFPR" (Philip Buckingham)

Join Laven CEO Jerome Lussan in a candid discussion with Philip Buckingham (Managing Director at The MPAC Group & Laven) on the FCA's new Investment Firms Prudential Regime (IFPR) and what this means for regulated firms.

Check out the Audio Version Here

ComplianceBytes by Laven - EP 3: Market Access post-Brexit (with Mark Shaw)

Join Laven CEO Jerome Lussan in a candid discussion with Mark Shaw (Partner at Wildgen) on how the Financial Services landscape has evolved post-Brexit trade deal (24 December 2020) and what the future of fund marketing might look like.

Check out the Audio Version Here

ComplianceBytes by Laven - EP 2: Trends in Investor Technology (with Pierre E. Mendelsohn)

Join Laven CEO Jerome Lussan in a candid discussion with Pierre Mendelsohn (Alpima Founder and CEO) on the state of Investment Technology in 2021 and what Financial Service professionals should consider.

Check out the Audio Version Here

ComplianceBytes by Laven - EP 1: Trends in AML

Join Laven CEO Jerome Lussan in a candid discussion with Andrew Welsh (Laven Managing Director) on the state of Anti-Money Laundering in 2021 and what Financial Service professionals should consider.

For the first episode, Jerome sat down with Laven Managing Director Andrew Welsh to discuss the state of AML in 2021 including the 5AMLD and the incoming 6AMLD.

Check out the Audio Version Here

Client Categorisation & Suitability w/Dale Emery

A recent presentation given by Dale Emery, Vice President at Laven on Client Categorisation and Suitability.

Questions include:

  • Access the suitability before making a personal recommendation or an investment decision for a retail client.
  • Gather and use all the required information about the client's objectives, knowledge, experience and risk tolerance to determine the suitability. - Beware of excessive risk, adverse tax consequences, an unsuitable overall portfolio, and churning or switching costs.
  • If relevant, provide the client with a suitability report stating their needs and demands,
  • Maintain records of the suitability tests that you perform.

2021: What's on the Regulatory Horizon?

  • What will the regulatory landscape look like in 2021?
  • How will financial services be affected by the end of the Brexit transition period and what options are open to firms?
  • With 5AMLD now in place and the 6AMLD hot on its heels, what does this mean for my business?
  • How are hosting platforms adapting and evolving their value propositions in the face of increased pressures (Brexit, COVID-19, Regulatory Scrutiny)?

If you are currently asking any of these questions, we've been thinking about the answers for you. Join members of the Laven team for a 30-minute webinar discussing the steps needed to ensure your business is ready for 2021.

Have regulatory hosting platforms evolved and are they likely to change post-Brexit? (HedgeweekLive)

The following is from a recent interview of Laven CEO Jerome Lussan ("JL"). The questions are being posed by James Williams ("JW"), Editor-In-Chief at Hedgeweek and Private Equity Wire. A full write up of this video can be found here.

Brexit: Distribution and Marketing post-transition period

Join Laven CEO Jerome Lussan and Managing Director of Business Development Martin Black in a frank discussion on Brexit. Will there be alignment, equivalence or something else?

Trends in ODD: Virtual Due Diligence

Will Virtual Due Diligence be the new normal?

In another work-from-home special, join Laven Managing Director and Head of Due Diligence George Wood in a frank discussion on the benefits and challenges of moving from onsite due diligence to virtual due diligence.

GDPR after Brexit: What happens next? (Institute of Compliance)

In a work-from-home special, join Laven Associate Director and GDPR specialist Iga Sloan in a rundown of Data Protection considerations for firms after the Brexit implementation period. We answer the following questions:

  • Do you need an EU Representative?
  • Will the UK still follow the GDPR?
  • Can I still transfer data between the EU and the UK?

The Future of Cryptocurrency (Institute of Compliance)

Learn more about the future of Cryptocurrency regulation and the future of the asset class with James Burnie (Partner) at gunnercooke LLP.

GDPR FAQ (Institute of Compliance)

Join Laven staff in answering the following frequently asked questions about GDPR including: 

  • What is the right to erasure?
  • Are controllers and processors required to obtain consent for existing relationships?
  • What is the ICO and what is its role?
  • What is a data subject under the GDPR?