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Regulatory Hosting FAQs

What documents do I need to become an Appointed Representative?

Once you have signed to become an appointed representative with a regulatory umbrella host there will be a document transfer process which needs to take place. The AR is required to give the principal firm the following documents:

  • A Business continuity plan;
  • Financial Projections;
  • The ownership structure chart;
  • 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 collection and storage of these documents.

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