Compliance Services

Financial Promotions

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 /Client Money

We manage the receipt and processing of application forms, reconciliation of subscription monies and calculate investment allocations and other payments.

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.