Compliance Services

Compliance Services

Financial Promotions

Bluewater offers Financial Promotion Order exempt (FPO exempt) funding structures. The exemptions for high net worth individuals (article 48) and sophisticated investors (article 50(A)) are designed to reflect the typical characteristics of business angels and other sources of informal capital for start-up and small companies. Bluewater are also experts in Section 21 of FSMA 2000 and can advise and approve borrower’s direct financial promotions to investors.

Compliance Services

Receiving Agents /Client Money

We are authorised and regulated by the FCA with the relevant permissions to hold client money. We manage the receipt and processing of application forms, reconciliation of subscription monies and calculate investment allocations and other payments.

Compliance Services

Investor Engagement

Bluewater oversees the engagement between the investor and the borrower ensuring the investors are appropriate and suitable for the investment opportunity. Typically, investors must be HNW or self-certified investors. We complete due diligence, KYC and AML checks in accordance with FCA requirements. Bluewater has strict checks and procedures in place to ensure investors are suitable and qualify to invest in the financial instruments we distribute.

Compliance Services

Registrar Services

Bluewater offers a Registrar Service, retaining and maintaining bond and shareholding records on behalf of clients. This ensures investments are managed efficiently and correctly during the course of their lifetime.

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