UK Regulatory Hosting

UK Regulatory Hosting Solution

We have been offering a UK regulated Appointed Representative platform, hosting clients conducting distribution and advisory activities under our permissions since 2005. We have expanded this permission to include hosting investment managers. Clients can carry out their advisory or dealing with confidence whilst we worry and provide operational and compliance controls through the regulatory hosting solution.

Laven clients avoid the time-consuming and costly process of seeking UK regulatory authorisation or having to maintain ongoing compliance systems and responsibility as well as capital. The approval of applications for authorisation by the UK regulator can take 6 to 12 months. Laven is able to offer an alternative or interim solution for firms that are arranging deals in investments, providing investment advice to clients and / or managing investments.

UK Regulatory Hosting options (not suitable to retail clients)

Laven Advisors offers two UK regulatory hosting solutions:

Appointed Representative Service, for distribution and advisory activities only

Conduct investment advisory activities and or arrange deals in investments activities as an Appointed Representative. Under this arrangement, your firm would become an Appointed Representative of Laven Advisors LLP which has been authorised and regulated in the UK since 2005. The Appointed Representative benefits from Laven Advisors’ regulatory authorisation, meaning that it does not need to have its own independent authorisation to conduct its advisory business. Read More

 Timeline for Laven's UK Regulatory Hosting ServiceKey benefits of Laven Appointed Representative Service:

Easy to get started: Firms that meet Laven’s requirements and due diligence and become an Appointed Representative could start offering investment advisory services within weeks.

Compliance support: Inheriting Laven’s existing compliance policies, procedures and oversight allows Appointed Representatives to focus on developing their businesses.

Assistance: Appointed Representative staff members are supported by Laven’s highly skilled compliance team who are there to help and guide clients through the different regulatory requirements.

Cost control: We only charge a fixed monthly fee.

MiFID Investment Management platform for illiquid assets only

Laven Advisors can host the staff of an Appointed Representative so that they may manage illiquid investments under our umbrella. Laven Advisors maintains all the necessary compliance and risk oversight, and provides the investment process infrastructure and regulatory framework for a seconded investment manager to conduct managing activities from the Laven Advisors’ regulatory hosting platform. Read More MiFID Investment Management platform for illiquid assets onlyKey benefits of Laven Investment Management Platform:

Technology and Infrastructure: Access to Laven Advisors’ back and middle office: in-house technology, dedicated software, access to market, access to carefully selected service providers

Easy to get started: Firms that meet Laven’s requirements and due diligence and become an Appointed Representative could start offering investment advisory services within weeks.

Compliance support: Inheriting Laven’s existing compliance policies, procedures and oversight allows Appointed Representatives to focus on developing their businesses.

Cost control: We only charge a fixed monthly fee.


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