Knowledge Library and FAQs




Published articles


Robo Advice and Artificial Intelligence – What is it and what does it mean for your firm?

September 2017

Robo advice has the potential to affect all financial services firms as it seeks to provide traditional investment and financial services, both regulated (such as advice) and unregulated (such as guidance), cheaper and quicker than traditional firms. It essentially replaces human interaction and decision-making processes with algorithms.

Read more


CyberSecurity: threats from high and low

April 2017, HFM

Andrew Frost, Director, Investment Management Solutions of Lawson Conner, looks at the cyber intrusion challenges facing the industry in the near future

Read more


FinTech: innovation and compliance

April 2016, The Risk Universe

Andrew Frost, Director, Investment Management Solutions, explores the challenges faced by UK FinTechs and discusses why compliance and regulation should be considered from the outset in order to avoid delays and the potential loss of revenue at launch.

Read more


Institutional investors support external ManCos

March 2016, Global Fund Media

Lawson Conner's Daniel Maycock, Director, Investment Management Solutions, and Andrew Frost, Director, Investment Management Solutions, discuss the support of institutional investors towards external ManCos in the 2016 Global Fund Media AIFMD Fund Services Report.

Read more


FinTech Connect Live interview with Lawson Conner

December 2015, FinTech Connect Live

Andrew Frost, Director, Investment Management Solutions, is interviewed at the FinTech Connect Live Conference 2015, where Gerhard Grueter, Managing Director, presented on How to ensure that your start-up is regulatory compliant.


Regulatory demands for FinTech - Lawson Conner interview with the Chartered Institute of Securities and Investment

November 2015, CISI (Chartered Institute for Securities & Investment)

On Tuesday 11th November, 2015, Gerhard Grueter, Managing Director of Lawson Conner, led a one hour seminar with Chartered Institute for Securities & Investment (CISI) members at the FinTech Professional Forum.


Following his presentation, Gerhard spoke with Markus Krebsz, Chairman, CISI FinTech Forum, to discuss regulatory change and the challenges faced by FinTech start-ups.



The full presentation can be accessed by CISI members through the CISI website.


Launching your FinTech firm - Compliance and regulatory considerations

September 2015, KPMG

Andrew Frost, Investment Management Solutions, discusses the wave of innovation taking place in financial services and the challenges faced through launch and international expansion, in an article published by KPMG in 2015.

Read more


A new way of accessing Europe's EUR19trn market

September 2015, Hedgeweek

In September 2015, HedgeWeek spoke to Lawson Conner's Daniel Maycock, Director, Investment Management Solutions, about the introduction of AIFMD, the implication of this and the options open to US hedge funds for entering the European market.

Read more


System integration has created cyber threat

July 2015, Hedgeweek

Gerhard Grueter, Managing Director of Lawson Conner, discusses how cybersecuirty risks have grown as global businesses have become more integrated with counterparties and system architectures have grown in complexity.

Read more


Setting up a hedge fund under AIFMD - Global Fund Media interview Lawson Conner

February 2015, Global Fund Media

In February 2015, Global Fund Media (GFM) published a Guide to AIFMD as a GFM Special Report. Included in this was an interview with Lawson Conner's Managing Director, Gerhard Grueter, and Daniel Maycock, Director, Investment Management Solutions, discussing setting up a hedge fund under AIFMD.

Read more


FAQs

An Appointed Representative is a firm or person who runs regulated activities and acts as an agent for a firm which is directly authorised by the Financial Conduct Auhtority.

A Principal Firm is a firm directly authorised by the Financial Conduct Authority and in which an Appointed Representative acts as an agent for.

Regulatory hosting is an alternative name for the Appointed Representative set-up. The Appointed Representative is effectively hosted by the Principal Firm.

Alternative Investment Funds are all investment funds that are not covered by the European Directive on Undertakings for Collective Investment in Transferable Securities which includes hedge funds, funds of hedge funds, venture capital and private equity funds and real estate funds.

The Alternative Investment Fund Management Directive was introduced into UK law in 2013 and covers the management, administration and marketing of alternative investment funds. It establishes an EU-wide framework for monitoring and supervising risks posed by Alternative Investment Fund Managers and the Alternative Investment Funds they manage.

An Alternative Investment Fund ManCo provides a fund access to an FCA-regulated Alternative Investment Fund Manager.

A Segregated Portfolio Company is permitted to create segregated portfolios while remaining as a single legal entity. The assets and liabilities of each portfolio are legally separate from each other and from the company's general assets and liabilities.

Undertakings for Collective Investment in Transferable Securities (UCITS) funds are investment funds which are regulated at a European Union (EU) level. As part of the EU's goal to create a single market for financial services in Europe, UCITS funds follow a set of common rules and regulations allowing a fund to seek a single authorisation in one EU member state and to register for sale and market across EU member states.

An Irish Collective Asset Vehicle is a collective investment vehicle for Undertakings for Collective Investments in Transferable Securities funds and Alternative Investment Funds, providing a corporate structure which is not subject to rules or requirements designed for other forms of company.

A Collective Investment Scheme is a fund with multiple contributors, with the fund manager investing the pooled money in one or more type of asset.

An Unregulated Collective Investment Scheme is a Collective Investment Scheme which can be based outside the UK but cannot be promoted to the general public (in the UK). However, it can be proposed to a certain number of categories of investors and can dedicate money to a range of different enterprises, including less common investment products and activities.

The Enterprise Investment Scheme helps smaller high-risk trading companies to raise finance by offering a range of tax reliefs to investors who purchase new shares in those companies.

The Seed Enterprise Investment Scheme aims to encourage economic growth in the UK by offering tax efficient benefits to investors who invest in start-up businesses in the UK.