Over 40 years’ experience in the investment and financial services industry.
Experience working in institutional segregated and pension fund management and primary and secondary broking in the UK and European equity markets:
Legal & General Investment Management
Credit Suisse Buckmaster Moore
Klienwort Grieveson
Credit Lyonnais Laing
Yamaichi International (Europe)
Experience as a senior regulatory and compliance professional and consultant at major financial institutions:
Investment Management Regulatory Organisation (IMRO)
Financial Services Authority (FSA)
Abbey National
Santander
Friends Provident
Regulatory and supervision experience:
Hedge funds
Institutional and private client fund management
Property Fund Management
Private equity and venture capital
Private banking and retail investment administration
Corporate finance
Stockbroking
Distribution and placement agents
SIPP
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Incorporated in England and Wales. No. 4800402
Registered Office: Regis House, 45 King William Street, London, EC4R 9AN, United Kingdom
VAT Number: 822 0829 48
LWF Consulting Limited is a member of the Association of Professional Compliance Consultants
Member Reference Number: 05030
© LWF Consulting Limited 2024
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The provision, implementation and ongoing monitoring of the regulatory infrastructure to ensure your business meets UK compliance requirements — including but not limited to arrangements covering:
We can also help establish policies and procedures, such as procedural manuals for recruitment, training and competence or complaints-handling and anti-money laundering. These materials may also include templates for specific disclosure documents, fact-finds and registers.
Undertaking special projects at your request, including but not limited to the provision of regulatory and compliance guidance and advice on specialist fields such as:
Assistance with the completion and submission of all regulatory financial returns, forms and formal reports to the FCA.
Assistance with the establishment and implementation of regulatory and compliance training and competence arrangements, including but not limited to:
Arranging appropriate training in regulations and compliance, including but not limited to:
Provision of regulatory and compliance reports and management information to your board of directors or management committee, including but not limited to:
Senior management.
Systems and controls.
Anti-money laundering, anti-bribery and corruption and financial crime.
Threshold conditions.
Senior managers, governing functions, required functions, other high-level management functions, systems and controls functions and certification functions.
Appointed representatives, tied agents, introducers and other agents.
Operational risk reports.
Initial analysis to identify higher-risk areas of the business and weaknesses in your procedures.
Ongoing provision of regulatory and compliance consultancy services, including independent compliance monitoring reviews, regulatory advice and guidance — including but not limited to:
The European Union Venture Capital Funds (EuVECA) regulations are voluntary and facilitate cross-border marketing and fundraising whilst sparing smaller funds the disproportionate costs and burden of authorisation under the Alternative Investment Fund Managers Directive (AIFMD).
EuVECA is only available to managers of collective investment undertakings (CIUs) established in the EU. They must fall below the AIFMD threshold of €500 assets under management (AUM) — applicable to managers managing unleveraged, closed-ended alternative investment funds (AIFs) — and be subject to registration with the regulatory authority in their member state.
LWF will undertake an assessment of the type and scope of firm subject to the EuVECA before preparing an appropriate registration application with supporting documentation to accurately reflect your business model. This service includes but is not limited to:
The scope of the Alternative Investment Fund Managers Directive (AIFMD) is broad and, with a few exceptions, covers the management, administration and marketing of alternative investment funds (AIFs). Its focus is on regulating the AIF manager (AIFM) rather than the AIF.
An AIF is a ‘collective investment undertaking’ that is not subject to the Undertakings for the Collective Investment of Transferable Securities (UCITS) regime, and includes hedge funds, private equity funds, retail investment funds, investment companies and real estate funds, amongst others. The AIFMD establishes an EU-wide harmonised framework for monitoring and supervising risks posed by AIFMs and the AIFs they manage, and for strengthening the internal market in alternative funds.
The AIFMD also includes new requirements for firms acting as a depositary for an AIF.
LWF will undertake an assessment of the type and scope of firm subject to the AIFMD and prepare an appropriate AIFM authorisation application with supporting documentation to accurately reflect your business model. This service includes but is not limited to:
An assessment of the type and scope of FCA Pt 4A permissions required to undertake the investment services you propose to conduct in the UK, ensuring you meet national regulatory requirements for authorisation.
Preparation of an appropriate Pt 4A authorisation application with supporting documentation to accurately reflect your business model, including but not limited to:
Undertaking risk assessments and compliance reviews on either a periodic or ad hoc basis, off-site or on-site at your offices, including but not limited to:
Provision of regulatory and compliance advice and guidance on either a periodic or ad hoc basis when required by you.