Advantages and Disadvantages of an AR

Regulatory Hosting – Incubator – ESG and SRI Screening

Advantages of an Appointed Representative

  • Able to do Marketing in your own name, build track record and contact investors directly.
  • Appointed Representative (“AR”) “borrows” some of Finex LLP (“Finex”) regulatory permissions as an authorised firm or member.
  • AR application process take weeks, no minimum capital requirement.
  • Monitoring plan, compliance policies, procedures and governance, all provided by Finex and included in the price.
  • Significant reduction in price, ability to halt activities with little overhang in weeks not months.

Disadvantages of an Appointed Representative

  • Need to comply with regulators rules.
  • Finex needs full access for oversight.
  • AR cannot manage investments directly, AR staff Seconded to Finex.
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