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. 

Receiving Agents

What does a Receiving Agent do?

As a Receiving Agent, Bluewater acts on your behalf to manage and facilitate all your investors applications, checking the details have been completed correctly, and carrying out Know Your Client and Anti-Money Laundering checks. We check that investors have completed Investor Certification Forms, confirming they are eligible investors for your product.

Once applications have been approved, we manage receiving your investor monies into our Client Money Account and remit the collated funds to you on a timescale that suits your needs.

Bluewater have developed an online investor management portal, LYGO, which can work alongside your own website to facilitate your investors applying simply online.

Receiving agents services are not regulated by the FCA

Why should I use a Receiving Agent?

Depending on the amount of capital you are looking to raise, and the number of investors you are looking to attract and their location, checking and processing your own applications can be time consuming and are unlikely to fall within your normal course of business.

Bluewater Capital have the experience and the technology to efficiently check and process applications in a thorough and compliant manner. We have system checks in place and will provide you and your investors with a professional dialogue throughout the entire process, delivering you with the capital raised and leaving you to focus on your business and what you do best.

Investor Engagement

Bluewater oversees the engagement between the investor and issuer, typically, investors must be of high net worth (HNW), self-certified or professional investors to receive promotional material. Bluewater provides systems and controls to ensure issuers only engage those investors that are eligible to invest in the financial products they offer.

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.