Introduction

Privium Fund Management (UK) Limited (Privium UK) is authorised and regulated by the Financial Conduct Authority (FCA) as a Collective Portfolio Management Investment (CPMI) firm and is therefore authorised as an Alternative Investment Fund Manager (AIFM) with MiFID “top up” permissions. Privium offers a range of regulatory hosting solutions as an investment fund management company (AIFM & UCITS) for alternative and traditional asset classes across different jurisdictions.

Please contact us for further details.

Regulatory Hosting

Privium enables firms to carry out regulated business activity under their regulatory umbrella (under their own firm name, ownership and control) without being directly authorised by the FCA. The firm will become an Appointed Representative (AR) of Privium which will enable the firm to use the regulatory permissions of Privium. Our hosting services include:

  • Investment Advisory/Arranging
  • Corporate Advisory
  • Investment Management
  • Marketing & Distribution Services
  • AIFM Service

Appointed Representative

An Appointed Representative (AR) is an arrangement whereby a person or firm is able to carry out regulated business activity under a firm (Principal) who is directly authorised by the Financial Conduct Authority (FCA). The Principal takes responsibility for ensuring the AR is compliant with all relevant FCA regulation. Privium provides a full service which includes but not exclusive to the following:

  • Ongoing compliance monitoring
  • Reviewing and approving marketing material
  • Risk monitoring and oversight
  • Providing initial and ongoing compliance training
  • Providing compliance manual and relevant ancillary compliance policies
  • Keeping abreast of regulatory changes and providing relevant regulatory updates
  • Completing the required FCA returns (including Annex IV)
  • Completing FCA notifications, such as marketing notifications (Funds only)
  • Highly qualified team aiming to respond to queries within 24 hours
  • Producing/review of legal agreements
  • The Chartered Institute for Securities & Investment (CISI) training modules
  • Key regulatory webinars

Benefits of becoming an Appointed Representative:

  • Able to obtain authorisation as an AR within just a few weeks and be ready to conduct regulated business.
  • More cost-effective for businesses than direct approval.
  • ARs do need not comply with the regulatory capital requirements themselves.
  • Compliance and risk expertise.
  • Privium keeps the AR informed of regulatory updates, allowing the AR to focus on its day to day business.
  • No Compliance/MLRO Officer requirement

Investment Management

Privium provides portfolio management services to funds and separately managed accounts (SMAs) (in respect of which Privium is the designated investment manager). Approved Persons of Appointed Representatives are seconded into Privium for the purpose of managing funds and/or portfolios.

Fund Management Services

Privium provides a range of fund management services which include:

  • Fund Structuring – Ensuring that your fund meets the needs of your (target) investors.
  • Fund setup – Start-up support related to regulatory approval, selecting and liaising with service providers and preparing legal documentation.
  • Fund Management – Activities related to portfolio management, investment oversight, compliance and risk management, communication with services providers, comprising of communications and reports and middle-office operations (not inclusive of fund administration).
  • Fund Governance – Privium can provide directorship services and AML – related functions to enhance the governance of your fund structure.

Marketing & Distribution

Privium can help support you with the marketing and distribution of your fund/strategy.  In collaboration with one of our Affiliated Companies we are able to offer EU MiFID II compliant fund marketing & distribution services to investment managers who do not have an EU MiFID, UCITS or AIFMD license.  Our solution especially helps non-European Economic Area (EEA) clients and non-regulated European distributors to interact with their European clients.

Privium’s extensive experience in fund management, coupled with our global presence, positions us to offer tailored and bespoke solutions that address the unique challenges faced by investment managers in today’s complex regulatory landscape.

Please contact us for more details.

More information:
Bella Harrison
Tel: +44 207 0469 882
Email: bharrison@priviumfund.com

Regulatory disclosures
Stewardship Code
Remuneration Code
MIFIDPRU 8 Remuneration Disclosure
SRD2 disclosure document 2024 

Please read and accept the following disclaimer

Privium Fund Management is a global group of companies.

Privium Fund Management B.V.

This website does not constitute an offer or solicitation to buy any of the funds mentioned, if:

  • you are in a jurisdiction where this would be unlawful
  • it is unlawful to make an offer to a certain type of investor

Do not run any unnecessary risk. Read the Fund Documents (Prospectus, Terms & Conditions and Key Information Document (KID)). Past performance is not indicative for future results. The value of investments and any income generated may go down as well as up and is not guaranteed.

Investors should further perform their own due diligence.

The information on this website does not constitute any investment, tax, legal or other advice. Privium Fund Management B.V. does not warrant the accuracy, adequacy or completeness of the information and materials contained on this website and expressly disclaims liability for errors or omissions in such information and materials.

US Investors

Our funds are not available for distribution to or investment by US investors. The funds are not registered under the United States Securities Act of 1933 or the United States Investment Company Act of 1940. Therefore, we cannot directly or indirectly offer or sell them in the US, in any of its states, territories, or possessions, in other areas subject to the US’s jurisdiction or to a US individual.

For those investors investing on behalf of an underlying investor

We will treat you as an investor who generally invests on behalf of underling clients.  It is your responsibility to provide the most recent KID to the underlying client for each investment you make on their behalf.

Applicable law

Dutch law applies to this disclaimer.

Privium Fund Management (Singapore) Pte. Ltd.

The information on this website is intended for Professional Investors / Accredited & Institutional Investors / Qualified Investors only.

The content on the website is for information purposes only and does not constitute an offer or solicitation to buy or sell an investment or fund(s) and is not an advice on investments, taxation or any other matter. It is not intended to be used by any person or entity in a jurisdiction or country where this would be contrary to local law or regulation. The information on this website does not constitute any investment, tax, legal or other advice and has not been reviewed by the Monetary Authority of Singapore. Privium Fund Management (Singapore) Pte. Ltd. does not warrant the accuracy, adequacy or completeness of the information and materials contained on this website and expressly disclaims any liability for errors or omissions in such information and materials.

Investors should further perform their own due diligence and read the Fund Documents in detail. Past performance is not indicative for future results. The value of investments and any income generated may fluctuate and is not guaranteed.

Privium Fund Management (HK) Ltd.

The information contained herein this website is only for Professional Investors as defined under the Hong Kong Securities and Futures Ordinance.

The information has been prepared for informational purposes only and does not constitute a distribution, an offer to sell or solicitation of an offer to buy any services or products offered by Privium Fund Management (HK) Limited. Privium Fund Management (HK) Limited believes that the information contained herein is accurate as at the date of publication, but no representation or warranty, expressed or implied, is made to the accuracy, completeness or thoroughness of the contents itself. No warranty of accuracy is given and no liability in respect of any errors or omissions is accepted by Privium Fund Management (HK) Limited.

The materials on this website do not consider the particular needs of any specific user. The information available on this website does not constitute any investment, legal, accounting, tax or other advice, nor a representation or recommendation that any financial service and/or investment is suitable for any person. Visitors should not rely on the information provided and should consult his/her own professional adviser before making any investment or financial decision or purchasing any product where necessary.

Investment involves a certain level of risk and past performance does not predict future outcomes. Visitors should carefully consider whether any investment products or services are appropriate for themselves in view of their investment experience, objectives, financial resources and relevant circumstances.

Professional Indemnity Insurance

Privium Fund Management maintains adequate Professional Indemnity Insurance coverage across the group globally.

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