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Regulatory Hosting FAQs

What documents do I need to become an Appointed Representative?

The principal firm’s is required to collect a set of documents that will conclude whether the principal firm is able to register a firm as an AR. The AR is required to give the principal firm the following documents:

  • A regulatory business plan;
  • A Business continuity plan (Laven provides you with a template);
  • Financial Projections (Laven provides you with a template);
  • The ownership structure chart showing all beneficial owners;
  • Details of Professional Indemnity Insurance (PII) or otherwise, confirm you wish to be connected to a PII provider.

For any approved persons (i.e. directors/partners and those who will be performing regulated activities), you will need to provide:

  • Certified proof of address;
  • Certified proof of ID;
  • An updated CV detailing your employment up to 5 years (with any gaps of more than 1 month explained);
  • References contact details; and
  • A list of directorships you have held in the past 10 years.

As an appointed representative under Laven’s Regulatory Umbrella, we would support you with the preparation, collection and storage of these documents.

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