Listed funds

comment - 27 March 2017

Listed funds

Experience always counts

There’s no substitute for experience. You want to focus on managing your investments, while having the peace of mind in knowing the day-to-day operation of your fund is in safe hands. With over GBP 4 billion in listed funds market cap under our care across leading markets such as the LSE and the ISE, you can rest assured you’re dealing with a partner that understands your industry.

A robust, yet efficient, approach to governance

You might be managing a fund, but you’ll still have many of the same legal and regulatory requirements as any other business listed on a stock exchange. You’ll need a partner that can work with you to not only build a robust governance framework, but also to ensure that framework allows decisions to be made and actions taken in the most efficient manner possible.

We recognise that efficiency in your world is critical. Whether it be making timely market announcements (such as being notified of transactions by major shareholders or persons discharging managerial responsibilities), or on-going filings with competent authorities (such as the FCA in the UK), a “next on the list” approach simply won’t do. Everything has to be done in a particular fashion within a particular timeframe – that’s how stock exchanges work, and that’s how we work.

The right blend of expertise and technology

You need the right people in your team – administrators for whom day-to-day tasks such as regulatory filings and market announcements are second nature, and also company secretarial specialists who can navigate the complexities and challenges of listed vehicles. Our experience spans everything from the fulfillment of corporate governance obligations and assisting in implementing sound risk governance frameworks, to filings, returns and registrations.  Our experienced team, who are used to dealing with high profile boards, will ensure that the right image of the fund is conveyed to the market.

You also need a partner that embraces the latest technology. The regulatory and legal framework for listed companies remains as fluid as ever, and you’re right to expect your service provider to employ market leading systems that can manage new requirements or obligations with minimum disruption and inconvenience.

As a business, we’ve always invested in technology that helps our clients manage the impact of industry developments, and listed vehicles are no exception. One example of this was our recent introduction of a new system to better manage the obligations arising from the introduction of the EU Market Abuse Regulations. 

KYI - Knowing your investor

You also want a partner that takes the time to understand your investor base. We recognise that every investor is different, with their own expectations and internal requirements around governance. Whether your investor base comprises large institutional pension funds, banks or private clients, we’ll help build a governance framework that is not only fit for purpose but is also tailored for you and your investors.

One size doesn’t fit all

These are just a few insights into our experience of working with listed fund managers just like you. One size doesn’t fit all—we know this. Every firm is different and every fund is different, but what we can do is combine our partnership-based approach with our extensive experience in working with listed fund managers to find a solution that’s right for you.

previous comment / Gordon Purvis

Listing a fund?

When it comes to listing a fund, there’s plenty to consider, from deciding on who to engage for legal and accountancy advice to finding a service provider to support with the str... Read More

Loading image Loading...

If you would like to discuss outsourcing to the Aztec Group or are considering migrating a fund or SPV, please call James Duffield, Head of Business Development, on +44 20 3818 0250.

Aztec Group Guernsey

Aztec Financial Services (Guernsey) Limited
PO Box 656, East Wing, Trafalgar Court
Les Banques, St Peter Port, Guernsey, GY1 3PP

Telephone: +44 1481 749700
Facsimile: +44 1481 749749

LocationDownload PDF Details

Aztec Group Jersey

Aztec Financial Services (Jersey) Limited
Aztec Group House, PO Box 730
11-15 Seaton Place, St Helier, Jersey, JE4 0QH

Telephone: +44 1534 833000
Facsimile: +44 1534 833033

LocationDownload PDF Details

Aztec Group UK - London

Aztec Financial Services (UK) Limited
2 Throgmorton Avenue

Telephone: +44 20 3818 0250

LocationDownload PDF Details

Aztec Group Luxembourg

Aztec Financial Services (Luxembourg) S.A.
8, rue Lou Hemmer, L-1748, Luxembourg – Findel
Grand-Duché de Luxembourg

Telephone:+352 246 160 6000
Facsimile: +352 246 160 6016

LocationDownload PDF Details

Aztec Group The Netherlands

Aztec Financial Services (Netherlands) BV
Spaces Zuidas, Barbara Strozzilaan 201
1083 HN Amsterdam, The Netherlands

Telephone: +31 20 794 4820
Facsimile: +31 20 794 4821

LocationDownload PDF Details

Aztec Group UK - Southampton

Aztec Financial Services (UK) Limited
Forum 3, Solent Business Park
Parkway South, Whiteley, Fareham, PO15 7FH

Telephone: +44 238 202 2300
Facsimile: +44 238 202 2309

LocationDownload PDF Details

Aztec Group Sweden

Cetza Financial Services (Sweden) AB
Strandvägen 7a, 114 56, Stockholm, Sweden

Telephone: +46 8 124 488 88
Facsimile: +46 8 124 488 99

LocationDownload PDF Details