Regulatory Hosting

Through our Partner Network we have helped many start-up companies, including corporate finance boutiques, capital introduction companies and family office advisors.

We have been instrumental in finding the right hosting partner for a number of companies.  Whether they are seeking an intermediate or longer term FCA solution.

We assist through FCA application and continue with compliance monitoring  working alongside many known and reputable compliance advisory firms.

A regulatory hosting platform provides an opportunity for investment advisors and portfolio managers to carry out regulated activities with appropriate FCA permissions prior to, “the client firm” obtaining direct authorisation in its own right. The platform provider (the host firm), the incubator, allows its regulatory permissions to be used by the client firm to enable that firm to carry investment advisory and/or marketing services whilst allowing the client firm to retain its own identity, ownership and control. Portfolio Managers sit within the regulated firm, and advisors also sit within the regulated firm. The client firm, using it’s own branding,  is set up as an Appointed Representative and can use permissions of the Principal Company to Arrange (introducing party A to party B) but only give advice.  A Directly Authorised Firm solely has the Permission to be an investment manager.

Regulatory Hosting – What costs should you budget for?

There are costs associated with becoming an Appointed Representative Firm or an Introducer Appointed Representative Firm these costs will normally include professional indemnity cover, we can provide introductions to help arrange this, regulatory exams if deemed appropriate,  legal fees with regard to the actual set-up and structure of your firm and your product. There are annual FCA Fees dependent on your turnover.

We are totally transparent in our fee structure and will tell you at the outset all costs involved.

If you’d like further help or want to become an Appointed Representative working with an FCA Authorised Company, please Contact us