LWF CONSULTING LIMITED

Regulatory Compliance and Financial Services Practitioners

Providing tailored guidance to clients in wealth managementasset managementcapital markets

Independent
Flexible
Focused
Experienced

Established in 2003, LWF is an independent regulatory compliance consultancy.

We provide bespoke regulatory compliance services designed to meet your requirements, with solutions tailored to specialist sectors in the financial services industry.

Our senior management team of former regulators combine extensive experience and expertise in the regulatory, investment and financial services industries.

Our belief

We believe that good compliance equates with best business practice, enhancing a firm’s relationship with its clients and minimising reputation risks.

Our aim

Our aim is to provide cost-effective regulatory compliance advice and guidance that is clear, practical and relevant to the nature and size of your business.

Tailored

We tailor our services to meet your needs and requirements.

Flexible

We offer flexibility to meet your specifications, covering whatever level of assistance you might need, and will act as a one-stop facility for many of the compliance requirements of your business.

Diverse

We offer a detailed and diverse range of regulatory and compliance services, including but not limited to assisting with your FCA Part 4A authorisation, AIFMD authorisation, Change in Control, Part 4 A Variation of Permission, Approved Persons, or Senior Manager and Certification Functions. Our experts can also provide regulatory compliance advice on anything from the compilation of compliance manuals, policies and procedures, the internal capital adequacy and risk assessment and financial analysis to full compliance monitoring and risk management reviews and reports or regulatory due diligence and investigative work.

Your obligations

FCA’s regulations require you to be responsible for ensuring your compliance with the regulatory system, whether or not you use us.

For more information about LWF Consulting and its services, please contact us.

Our senior management team combine over 80 years’ experience gained at:
  • Investment Management Regulatory Organisation (IMRO)

  • Financial Services Authority (FSA)
  • Goldman Sachs (New York and London)
  • Abbey National
  • Santander

  • Friends Provident

LWF Consulting has been our regulatory compliance consultant for over 10 years. Throughout this period, LWF has advised and guided us through the changing requirements of the regulatory environment and partnered us in developing our compliance arrangements. LWF addresses our compliance needs and both Arun and Somerset offer their experience and support to us in both a professional and timely way. We highly recommend them.

Director and Chief Executive Officer, Private Client Asset Manager

The LWF Consulting team has been advising and assisting us with compliance since 2010. The service is always exceptional. The team is extremely experienced in all compliance matters and can provide advice at a moment’s notice on anything relating to the compliance of our business. We are delighted with the service and would recommend the team for any small or large business looking to outsource.

Managing Partner, Institutional Fund Placement Agent

We have worked with LWF over the last 10 years since authorisation with the FSA (FCA). During this time, the team have provided us with the ongoing compliance guidance and advice needed to deal with the ever-growing complexity of UK regulation. Working in ‘partnership’, LWF has helped us develop a robust compliance culture and implement comprehensive controls as our business has grown.

Partner and Chief Operating Officer, Institutional Asset Manager

Very many thanks for your customary progressive and constructive advice on compliance issues!

Chief Executive Officer, Corporate and Institutional Stockbroking Group

LWF Consulting Limited has been a useful and informative resource for our company for the past six years. It has successfully guided us through the FSA (now FCA) authorisation process. As the designated investment adviser to an offshore property fund, we depend on LWF’s invaluable advice to comply with the often complex regulatory requirements of the FCA. The guidance offered over the last six years has kept us abreast of changes in the rules and allows us to perform our role as investment adviser and promoter to the fund and to other clients with confidence and ease.

Director, Property Investment Adviser

Whilst you can make your application for authorisation to the FCA unassisted, I am glad we used LWF. With their help, we were able to register and get authorised as the UK subsidiary of a US corporate finance house expeditiously. LWF was also able to assist with responding successfully to the unexpected questions asked by the FCA. A swift, pragmatic and efficient adviser.

Director and Chief Executive Officer, Corporate Finance

LWF Consulting has successfully managed all of our compliance requirements in a timely, helpful and professional manner. It is a relief to know that they can be counted on whatever the question or need. As a small firm, we value the ability to outsource our compliance function and the service that LWF consistently provides.

Director and Chief Executive Officer, Institutional Asset Manager