Appointed Representatives

Appointed Representative Services offer a quick and easy alternative approach to receiving direct authorisation from the Financial Conduct Authority (FCA) to conduct financial services activities in the UK.

Direct authorisation can take up to 12 months to complete and requires a significant amount of time and documentation. Through Appointed Representative Services and our Regulatory Umbrella Platform, we enable our clients to conduct regulated activities within only a few weeks, and as the Principal Firm, we assume the regulatory oversight of the Appointed Representative. This set-up is also referred to as an ‘Incubator’ or ‘Regulatory Hosting’.

We are the leading provider of regulatory hosting solutions and appointed representative services, with more than 350 regulated entities launched or operated in the last five years.

Conducting regulated activities in Europe

For businesses wishing to conduct regulated activities in Europe, we provide MiFID passport services which allow firms to operate in Europe as a ‘Tied Agent’. This regime works particularly well for those wanting to distribute UCITS funds, managing discretionary managed accounts and operating in the primary finance markets across the European Economic Area.

The benefits of becoming an Appointed Representative

The Appointed Representative Services platform provides a number of benefits to businesses looking to conduct regulated financial services activities in the UK:

  • Quick, efficient and cost effective set-up
  • Speed to market – Conduct regulated activities within three to four weeks
  • Monitoring plan, compliance policies, procedures and governance, all provided by Principal Firm
  • Considerably lower ongoing compliance costs compared to full authorisation
  • Capital requirements provided by Principal Firm

Regulated services are provided by either G10 or Sapia which are authorised and regulated by the Financial Conduct Authority of the United Kingdom. Lawson Conner Services a compliance services firm and provides non regulated services.

Appointed Representative Services
Appointed Representative (PDF)

Appointed Representative Technology

Clients benefit from a state-of-the-art technology platform which reduces compliance risks and increases efficiency. Every Appointed Representative is supported by a leading team of compliance professionals.

Using Lawson Conner’s appointed representative services saves time and money, offers a quick and efficient route to market, cushions against post-Brexit uncertainty and offers unparalleled access to high-quality compliance expertise. To find out how we could help you launch in just a few weeks, talk to us today. We are happy to discuss how we can get your business launched!

What is the difference between direct FCA authorisation and using an appointed representative?- Read more in our blog: Appointed representative or direct FCA authorisation? – There are pros and cons to both scenarios and in this blog we discuss the advantages of each.

What sets us apart

27%
Growth

Year over year growth in number of clients

17
Awards

Acknowledged for 17 industry awards in 2016-18

EU, US & Asia

Global solutions for financial firms operating in the largest financial centres of the world

Smart Software

Fully integrated software solutions for global compliance (SaaS and mSaaS)