Appointed representative (AR) and regulatory umbrella services
Early stage businesses often lack the infrastructure, resources and compliance knowledge to obtain FCA authorisation at the beginning of their journey.
Through our hosted regulatory platform, our clients can market their products and provide investment advice as an appointed representative (AR) of our subsidiary, Newgate Compliance.
We can provide or arrange regulatory coverage for a wide variety of client types such as investment advisory firms and discretionary investment managers. We do not offer regulatory coverage for firms with retail customers.
Our team are comprised of many former FCA employees who have the knowledge to enable companies to get to market quicker through first-hand experience of working at the regulator.
We can help you
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Undertake investment activity quickly
Using our regulatory licencing solution, you can go to market quickly under the regulatory umbrella we provide.
Demonstrate proactive compliance
Regulators expect firms to show they understand and invest in compliance. Engaging with us shows a determination to achieve authorisation in a structured way.
Create a stepping stone to full authorisation
Through a rigorous and thorough approach, we aim to equip our clients with the necessary skills, infrastructure and understanding to engage with their future regulatory responsibilities.
Adopt best practice compliance
We will ensure your firm adopts best practice regulation and compliance procedures to set you on the best path.
Build a positive track record with the regulator
By hosting your regulatory efforts, we introduce you to dealing with the demands of regulators. By doing that, we can help you develop a better understanding of the regulators' expectations once you are registered.
Market your products
We provide regulatory hosting for marketing businesses such as hedge funds who distribute collective investment schemes.
Demonstrate your credibility to the market
We only engage with credible businesses and will not take on unnecessary risk; your success in achieving the necessary level of compliance for registration is also our success.
Expertise from ex-regulators
Our team is staffed by ex-regulators, a key differentiator. As we monitor, visit and challenge our clients, we are able to ask the right questions and help develop the right solutions.
Flexible solutions as your business grows
As your business scales, we offer flexible solutions and can support you to build an in-house compliance team or apply for direct authorisation.
A fixed cost
Our fixed pricing model allows growing businesses to plan and map out their spend on compliance as they develop.
What you say
What you say
Asset Manager based in Mayfair, London
Contact us and a member of our team will be in touch.