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.
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.
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.
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.
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.
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.
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.
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.
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.