Sector Focus: Fintech
We use the term Fintech as an umbrella for the full array of providers from Crowdfunding, platforms, Peer-to-Peer (P2P) and Online Trading to Investment Management and Custody & Execution firms. Our dedicated Platforms Practice is led by Andrew Tyrtania. Find out more about Andrew CLICK HERE
The term ‘Fintech’ encompasses a wide range of business models, from the tried and tested investment fund custody providers and ‘plug and play’ solutions for investment managers to the more current application to anything web-based. I'm fortunate to have had exposure to so many variants during my investment and consultancy career.
Our approach is that compliance should be an enabler rather than a blocker to business, we always seek to assist clients to find a compliant way to achieve their aims. Compliancy Services helps Asset Management firms with their:
On-going compliance management
The FCA considers loan-based crowdfunding to stand alongside equity crowdfunding and has made efforts to ensure that consumer protections are equivalent. The implementation of the new regime, alongside the more established consumer credit activities, has made for some challenging navigation of statutes dating from 1974 to the implementing Policy Statement of 2014 and I continue to work closely with my Consumer Credit expert colleagues in determining how we, and the FCA, will treat novel business models.
Alternative Investment Fund Managers Directive
A number of new entrants have also discovered that other investment regulations impact their plans, the Alternative Investment Fund Managers Directive (AIFMD) is a regulatory framework for alternative investment fund managers (AIFMs). Including managers of hedge funds, private equity firms and investment trusts. READ MORE
Enquire About Our Compliance Consultancy Services
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