What is regulatory hosting and how can it help new asset managers to launch under UK regulations?
A regulatory hosting platform enables investment advisers and managers to carry out regulated activities without being directly FCA approved. The client will instead become an appointed representative (AR) of the host firm and can then carry out regulated activities using the regulatory permissions of the platform provider. The appointed representative (AR) is the firm who will conduct the regulated activities under the regulatory umbrella of the host. We support MiFID and AIFM managers, as well as “arranging/adviser functions” such as corporate finance firms or financial intermediaries, across all asset classes (private equity, real estate, alternative investment funds, wealth managers, financial services firms, trusts and listed vehicles)
The benefits to clients are obvious:
- Immediate access to an institutional grade regulatory infrastructure
- Outsource all your filing requirements to Lawson Conner
- Receive all necessary policies & procedures, as well as compliance manuals
- Receive a tailored training & development program to meet regulatory requirements
- Benefit from an independent risk governance function
- Time to market is critical – we are aiming to get your business launched within 4 weeks.
The services provided are:
- Investment management services
- AIFM hosting services
- Regulatory umbrella services
- Outsourced compliance services
- Marketing and distribution services
- Regulatory advisory services
- Delegated risk & portfolio management service
Our team has helped over 300 firms to launch under FCA regulations and provides the widest service offering today.
Lawson Conner’s approach is to build an institutional product right from the start so that clients have access to the highest quality investor base. There is a strong focus on risk management. In fact, Lawson Conner can manage the entire risk process and governance. Clients benefit from a state-of-the-art technology platform which reduces compliance risks and increases efficiency.
Every launch is supported by a leading team of investment, risk and compliance professionals.
We are happy to discuss how we can get your business launched and supported!
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.