Blog

The Luxembourg AIFM solution – has your firm considered it?

14th March 2019 - Blog Posts

Lawson Conner’s Lux AIFM Solution offers clients a fully integrated compliance and regulatory infrastructure option across different jurisdictions. The complexities of fund management, compliance and regulation can put a huge burden on firms, and our solution will help you to navigate through these. It gives access to integrated fund solutions and ManCo services, including Alternative … Read more

Understanding ‘Discovery’ – Platform Benefits

1st March 2019 - Blog Posts

Setting up your very own hedge fund can be complex because you must adhere to regulatory rules and expectations. It also requires a large amount of assets to invest (high costs). In addition to this, the process of setting up involves important stages that require careful consideration. There are a number of counterparties which are … Read more

AIFMD and the 18-month premarketing rule

20th February 2019 - Blog Posts

Premarketing rules under AIFMD have been a controversial topic because of the varying regulations that apply in separate jurisdictions. Even for funds who have opted for outsourced compliance, it is important to understand the regulatory requirements surrounding premarketing under AIFMD, as there can be significant consequences for failing to make the correct regulatory filings. Proposals … Read more

How can technology help with your AIFMD compliance?

14th February 2019 - Blog Posts

AIFMD compliance is becoming increasingly complex as more rules regarding reporting, updating and marketing are introduced. To manage AIFMD compliance effectively, its crucial that fund managers are leveraging technology effectively. Reporting is an integral part of AIFMD compliance and greater restrictions are leading to a larger focus on transparency, which can be achieved far more … Read more

Senior Managers and Certification Regime (SMCR) – 2019 Implementation

30th January 2019 - Blog Posts

The Senior Managers and Certification Regime (SMCR) is sought to replace the UK approved Persons Regime (APR) in order to place more emphasis and focus on senior managers and individual responsibility. SMCR aims to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence. Objectives Accountability – … Read more

PRIIPs Disclosure Rules: Navigating the new KID on the block

30th January 2019 - Blog Posts

Article featured in Intercontinental Finance and Law magazine – Jan 2019 See Magazine PDF here: http://bit.ly/2GbWkI4  By Andrew Frost, Executive Director, Lawson Conner January 2018 saw the implementation of the Packaged Retail and Insurance-based Products (PRIIPs) Regulation come into force. In a financial world already heavily burdened by rules and regulations, there have been concerns raised … Read more

How effective is your firm at KYC best practice? Is this an area for improvement within your organisational AML framework?

8th January 2019 - Blog Posts

KYC, or Know Your Customer, has taken an increased prominence in the financial services industry over the last few years. KYC is a crucial component of an effective Anti-Money Laundering framework and as AML regulations have tightened up since 2017, it is more important than ever that firms apply effective KYC best practices. What are … Read more

Regulatory Update – Amendments to PRIIPs Regulation

11th December 2018 - Blog Posts - Regulatory Updates

We are here to help you reduce risk and stay compliant. In our latest Regulatory Update, we review the Joint Consultation Paper JC 2018 produced by European Supervisory Authorities (ESAs) on the Amendments to PRIIPs KIDs Regulation. The ESAs have drafted a consultation paper welcoming comments from the fund industry regarding a set of possible changes to … Read more

Key things you need to know about FCA authorisation

4th December 2018 - Blog Posts

To carry out regulated financial activities in the UK, including dealing in investments and advising on investments, fund managers must either be directly authorised by the FCA or become an appointed representative. If you decide that FCA authorisation is the best route for your firm, there are a number of considerations to make your application successful. What you … Read more