Regulatory Hosting FAQs
What are Appointed Representatives provided with?
The main benefit of becoming an Appointed Representative is being able to access the market whilst avoiding the time-consuming and costly process of seeking regulation in the UK and then having to maintain ongoing compliance systems and responsibility. Your host will maintain all the necessary compliance and risk oversight, and where applicable, provide any seconded investment managers with investment process infrastructure and regulatory framework to perform their activities. This includes meeting obligations such as filing periodic reports and notifications to the FCA, and protecting investors.
Working with Laven, firms will also gain access to the Leo Compliance Platform - our favoured choice of compliance system for keeping our processes, and yours, efficient and robust.
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