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Appointed Representative Service

FCA Regulatory Hosting

Laven offers a UK regulatory hosting platform which provides clients with the opportunity to conduct regulated activities as an FCA Appointed Representative (AR), or, as a manager under AIFMD (small and full scope) 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

Benefits of being an Appointed Representative

Laven is your compliance team
No FCA returns
No FCA fees
No capital requirements
No requirement for annual audit
No SMF16/17 requirement i.e. no compliance officer
Free compliance training (AML and Market Abuse Training)
Access to Laven Tech
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Distribution and advisory activities only

Firms looking to conduct investment advisory activities and/or arrange deals in investment 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 enable you to passport services through the EU under MiFID II.

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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 manage money through a fund structure, as a delegated sub-investment manager, or as a manager of managed accounts can do so under Laven’s MiFID regulatory umbrella. Furthermore, firms wishing to manage AIFs can do so with our specialist AIF umbrella.

In either case, 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 under 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.

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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.

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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.