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Appointed Representative Services

UK Regulatory Hosting

Laven offers a UK regulatory hosting platform which provides clients with the opportunity to conduct regulated activities as an Appointed Representative (AR), or, as a manager under MiFID or (if AIFs) under AIFMD without having to be directly regulated. This allows clients to focus on their core business activities and retain their independence in terms of identity and ownership, whilst having the full support of Laven to help them evolve and achieve their objectives.

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Hero background landing page Appointed Reps
outside of the London office

Why Laven?

We have been offering a regulated hosting solution for over a decade. We offer firms and funds a market access solution in complete confidence and provide a fast-track programme to conduct regulated activities. This helps avoid the time-consuming and costly processes which seeking and upholding a regulated status may have in the UK. We can offer an alternative or interim solution to educate your team and equip your business with an appropriate compliance and risk infrastructure.

By joining Laven you will also receive the full benefit of Laven Tech software powered by Leo, reducing and streamlining your compliance workload. By combining our best-in-class client support and the highly renowned technology, ensuring we maximise efficiency so you can spend more time on your core business.

Key Considerations of being an Appointed Representative

Laven is your compliance team
No regulatory returns
Regulatory fees dependent on turnover
No capital requirements
Risk-based monitoring by your Principal
Seamless digital workflow provided by Laven Tech
Free compliance training (AML and Market Abuse Training)
No SMF16/17 requirement i.e. no compliance officer
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Distribution and advisory activities only

Firms looking to conduct investment advisory activities and/or arrange deals in investment activities (e.g., introductions, arranging deals corporate finance/venture capital work, private placement, investment advisory and/or fund distribution) can operate under Laven’s regulatory umbrella.

To do so, we would register your UK entity as an Appointed Representative, supervised by our firm Laven Advisors LLP (the Principal firm). By registering an AR your firm will be able to conduct the desginated activities of arranging deals in investments, investment advice, arranging P2P agreements; and/or making arrangements (with a view) to enter into transactions.

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Lumen AIFM Hosting Platform

If you are looking to manage an AIF without having to go through the strenuous and lengthy application process, Laven can help you establish yourself in the market in a cost-effective manner at a fraction of the time it takes to become fully authorised by the Financial Conduct Authority (FCA).

Laven’s sister company, Lumen Asset Management Limited, can provide you with access to its regulatory permissions (subject to our due diligence being satisfied). By integrating you into our framework, you will be able to conduct portfolio management whilst receiving bespoke support, risk management processes and best-in-class compliance support. In the event that you wish to provide advisory services or distribute the AIF, you can also benefit from Laven’s comprehensive Appointed Representative package which includes the support of our regulatory framework and access to Laven Tech, our market-leading RegTech software.

MiFID Investment Management platform

Firms looking to delegate the portfolio management of their fund or manage separate accounts can do so under Laven’s MiFID Investment Management Permissions. Laven maintains the necessary compliance and risk framework and provides the oversight for you to conduct the managing activities under Laven’s platform.

MiFID Investment Management platform

Hosting Timeline

Week 1: Preliminary Meeting
• Understand your business and objectives. • Due Diligence on your firm and staff.
Week 2-3: Registration
• Registration of the AR or Fund. • Submission of appropriate applications to the FCA.
Week 4 and beyond
• Laven Tech onboarding to build your firm’s compliance infrastructure • Periodic meetings for ongoing compliance monitoring.

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.

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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.

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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.

compliance expert in a meeting

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.

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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.

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.