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Regulatory Hosting FAQs

What are the benefits of being an Appointed Representative (AR)?

Using a reputable Regulatory Hosting platform should allow firms to access the market in complete confidence without the time-consuming process of a full FCA license. Working with a Hosting Platform, clients can get the best compliance and risk support from the platforms in-house compliance team which reduces their compliance burden and allows them to focus on their core business activities.

It is in the Hosting platforms best interest to make sure the AR is compliant with all relevant regulation as, under the FCA’s AR rules, the principle firm takes on all the responsibilities and obligations for regulatory matters.

There is also an operational advantage for start-up firms as Regulatory Hosting platforms should give you access to a firm’s tried and tested compliance framework. For instance, with Laven, this includes our best-in-class RegTech solution which can be transposed to allow a smooth transition from a compliance perspective if your firm decides to become fully regulated.

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