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Regulatory Hosting

Get to market with ease and confidence

Laven Advisors LLP (Laven) offers a UK regulatory hosting platform, which provides clients the opportunity to conduct regulated activities as an Appointed Representative (AR), without having to be directly regulated by the FCA, or go through a full authorization process.

Hero background landing page Appointed Reps

As the Principal firm, Laven will be responsible for the ongoing compliance

As an Appointed Representative (AR), this will allow the firm to focus on their core business activities and retain their independence in terms of identity and ownership, whilst having the full support of Laven Advisors to help them grow and achieve their objectives. Laven’s regulatory umbrella can assist firms who are looking to carry out the below regulated activities.

Distribution and advisory activities only

Firms looking to conduct investment advisory activities and/or arrange deals in investments activities can operate under Laven’s regulatory umbrella. These types of activities include the likes of introductions, arranging deals, and distribution activities. As an AR, your permissions under Laven’s umbrella would enable you to passport services through the European Union.

Registering Your Fund for Distribution in the EU under AIFMD

Small-scope AIFM

If you are looking to manage a sub-threshold AIF under Laven’s regulatory umbrella, please contact Laven’s team for more information.

MiFID Investment Management platform

Firm’s looking to manage money under Laven’s regulatory umbrella can do so through managed accounts or as a delegated sub-investment manager. Laven maintains all the necessary compliance and risk oversight and provides the investment process infrastructure and regulatory framework for a seconded investment manager to conduct managing activities from Laven’s platform.

MiFID Investment Management platform

Key benefits of Laven’s Appointed Representative Service and Investment Management Platform

Quick to get to market

Firms that meet Laven’s requirements and due diligence and become an Appointed Representative could start carrying out regulated activities within weeks in contrast to becoming independently authorized, which can take up to 9 months.

Compliance Infrastructure

As an AR of Laven, you will receive Laven’s compliance manual, policies and procedures. By providing the framework and taking care of the compliance monitoring, Laven enables its ARs to focus on growing their businesses.

Compliance Expertise

Laven’s ARs can leverage the expertise and knowledge of our highly skilled compliance team who are there to help and guide clients through the different regulatory requirements, and any new incoming regulation.

Technology and Infrastructure

Access to Laven’s back and middle office: In-house technology. Laven’s software streamlines both the client onboarding process and overall compliance work flow. The software can also be licensed independently, so if a Firm chooses to become independently authorized they can license it in order to maintain the compliance infrastructure.

Cost efficient

Laven’s fees are designed to grow with you as your business grows. We charge a fixed monthly fee to ensure you are fully aware of the costs involved in being on Laven’s platform.

The GDPR Data Flow Analysis is tailored to the firm’s circumstance following the impact assessment.

Benefits of being an Appointed Representative vs aiming for an independent FCA Authorisation

Laven is your compliance team
No FCA returns
No FCA fees
No capital requirements
No requirement for annual audit
No CF10/11 requirement i.e. no compliance officer
Free compliance training (AML and market abuse training)
Access to Laven's RegTech

Appointed Reps

Laven's regulatory hosting platform allows clients to conduct regulated activities as an Appointed Representative of Laven Advisors

Laven Advisors  can appoint representatives to advise and arrange deals in investments to operate under the appropriate FCA permissions.