Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
If you’re a firm seeking fast market access to conduct regulated activities in the UK, we can help. Our hosted platform provides a hassle-free way for both UK-based firms and those from third countries to market or source deals in the UK.
By becoming an appointed representative (AR) of our platform, you can skip the complexities of direct FCA authorisation and get up and running quickly. You’ll gain access to our regulatory permissions, which allow you to conduct regulated activities like fund management, corporate finance and marketing services.
We support managers under MiFID and AIFMD, as well as “arranging/adviser functions” such as corporate finance firms or financial intermediaries, across all asset classes.
Our trusted regulated entities, G10 Capital Limited and Sapia Partners LLP, provide fast market solutions and peace of mind.
We’re the leading provider of institutional-focused AR services in the UK. We have helped over 500 firms provide regulated financial services including investment advice, deal sourcing, portfolio management and fund raising. Our unrivalled expertise allows you to focus on your key activities while leaving us to manage your regulatory compliance.
As well as offering hosting services, we have an experienced compliance consulting team who can assist firms with the process of FCA authorisation and support those firms once they are regulated. Our AR services are also fully integrated with our full offering including corporate administration, fund accounting and outsourced CFO services.
- Immediate access to an institutional grade regulatory infrastructure
- Outsource all your filing requirements
- Receive a tailored training and development programme
- An independent risk governance function
- Set-up within 6-8 weeks
Onboarding and monitoring of all our ARs is supported by our world-class RegTech platform, MaxComplyTM.
Contact us today to learn more about our AR services in the UK:
Get in touch
Rachel Aldridge
Managing Director, Regulatory & Compliance Solutions, UK
United Kingdom
Send email + 44 203 696 1302 Full profile
Andrew Shrimpton
Chair, UK Regulatory and Compliance Solutions, UK
United Kingdom
Send email +44 207 397 5469Appointed Representative FAQs
What is an appointed representative?
An AR is an alternative way for companies to provide certain financial services without getting direct authorisation from the FCA. This approach works particularly well for small businesses and start-ups.
Through AR, you can partner with a principal firm that has direct authorisation from the FCA. The principal firm will oversee your processes to ensure you’re compliant, allowing you to market your products and provide investment advice to your clients.
What is a direct authorisation?
More suited to larger firms, direct authorisation is a process where the company gets permission from the FCA to carry out regulatory financial activities without partnering with a principal firm. The process can take up to 12 months before you receive permission, but it means you will have more control over your services and compliance processes.
