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.