Appointed Representatives

Laven Advisors LLP offers a UK regulatory hosting platform, which provides clients the opportunity to conduct regulated activities, such as advising and arranging deals in investments, as an Appointed Representative of Laven Advisors. This ensures clients operate under the appropriate FCA permissions without, or prior to, the client having to go through the full FCA Authorisation process. Laven Advisors, or Principal firm, has recently expanded its permissions to include hosting investment managers.

As the Principal firm, Laven Advisors will be responsible for the ongoing compliance and operational control of the Appointed Representative and therefore allow the client to focus on their business activities. The Appointed Representative title ensures clients retain their independence in terms of identity and ownership, whilst having the full support of Laven Advisors to help firms grow and achieve their objectives.

Laven Advisors offers two solutions on our platfrom:

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

Laven Advisors can host the staff of an Appointed Representative so that they may manage investments. 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 tners.com/wp-content/uploads/2014/11/Picture1-6.png">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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