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 confidence without the time-consuming process of a full authorisation. Working with a Regulatory Hosting platform, platform clients can get compliance and risk support from their principal’s in-house compliance team which reduces their own compliance burden and allows them to focus on their core business activities.
It is in the Hosting Platform's best interest to make sure the platform client is compliant with all relevant regulation as the principal firm takes on the responsibilities and obligations for regulatory matters.
There is also an operational advantage for start-up firms as Regulatory Hosting Platforms give platform clients access to a firm’s established 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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