Financial Promotions and Investment Funds
Financial Promotions Co-ordination
FCA Authorised firms
We can be retained by authorised firms to act on their behalf with respect to their client’s financial promotions. This service is particularly useful for firms that have the relevant FCA permissions to approve financial promotions but do not have the in-house resource to dedicate to the process, particularly if it is not a core service line of the business. Scope of services include:
> Review and comment on content with regard to COBS rules on financial promotions being
clear, fair and not misleading
> Liaise with the client and other third party advisers throughout the process
> Attend calls/meetings with underlying clients, where required
> Verify the financial promotion in conjunction with the client's legal advisers and prepare the verification pack.
We will work with you and your advisers to get your financial promotion fit for purpose and ready for issuance to your targeted prospective investors. With our help the process will be managed smoothly and without the delays that can be caused if you are not wholly aware of what is required or if you are busy on other business matters. We will:
> Work with you and act on your behalf on the production of your financial promotion
> Help you engage the relevant advisers, including a FCA authorised firm
> Ensure that you are familiar with the financial promotions rules and know what constitutes a financial promotion
> Liaise with your advisers throughout the process
> Advise on the content with regard to the FCA's Conduct of Business Sourcebook (COBS)
> Advise you on the verification that will be needed as evidence to the content of the financial promotion and help you collate the material
Fund Launch Project Management
Launching an investment fund can consume a lot of your time and effort. Launching your first fund can also be confusing if you don't know where to start and what is involved.
With our experienced backed support your fund will be project managed, from financial promotion production through to successful close and the on-going term of the fund. We will:
> Co-ordinate the production of your financial promotion for issuance to prospective investors
> Liaise with your advisers to ensure that the legal, taxation and regulatory obligations are met
> Help with opening bank accounts, HMRC registrations, companies house filings and fund appointments
> Arrange meetings with financial advisers and prospective investors
> Assist with the subscription process
> Provide you with support for your on-going commitments to the fund (in accordance with the legal agreements)
We can give you access to large networks of intermediaries and prospective investors, upon your request.
We would be delighted to discuss your requirements with you. Contact us here.