Appointed Representative and Regulatory Hosting Services
By Practitioners for Practitioners
Finex LLP provides appointed representative and regulatory hosting services for investment firms, fund managers and financial services businesses in the UK and internationally. Our regulatory umbrella infrastructure combines FCA oversight, governance, compliance support and operational supervision with the practical experience of an active investment manager.
Finex LLP supports investment advisers, fund managers, corporate finance firms, placement agents and other financial services businesses seeking to operate as an FCA appointed representative or through a regulatory hosting arrangement.
We can consider UK and international firms, subject to due diligence, regulatory permissions and suitability.
Who We Support
Regulatory Umbrella Services
Regulatory umbrella is a market term commonly used alongside regulatory hosting. In practice, the formal arrangement is an appointed representative relationship under which an FCA-authorised principal assumes responsibility for the regulated activities carried on by the appointed representative within an agreed scope.
Finex LLP provides this framework through structured due diligence, onboarding and continuing oversight. Each proposed arrangement is assessed individually against Finex LLP’s regulatory permissions, resources and risk appetite. Our approach combines practical compliance support with direct partner involvement and the experience of operating as an active investment manager.
Regulatory hosting allows a firm to conduct specified regulated activities as an appointed representative of an FCA-authorised principal firm.
Finex LLP provides the compliance framework, governance, oversight and operational supervision required for an FCA regulatory hosting arrangement, subject to due diligence, contractual terms and the scope of Finex LLP’s regulatory permissions.
What Is FCA Regulatory Hosting?
FCA Appointed Representative Services
Through an FCA appointed representative arrangement, a firm may carry out specified regulated activities under the responsibility and oversight of Finex LLP as its FCA authorised principal.
The permitted activities, client types and scope of business are agreed during onboarding and remain subject to ongoing monitoring, reporting and compliance requirements.
Once appointed, each appointed representative remains subject to ongoing oversight by Finex LLP. This includes periodic compliance monitoring, regulatory reporting, review of financial promotions where applicable, training, governance meetings and escalation of material issues.
The level of supervision is proportionate to the nature, scale and risk of the appointed representative’s activities.
Appointed Representative Oversight and Governance
Cayman, BVI, and Irish Fund Platforms. AIFM for EU and Non-EU Funds
Turnkey Cayman, BVI, and Irish Fund Platforms as well as offering UK, EU, and US distribution. Our network of providers can have you launch a fund in a month and at very competitive prices.
Speak to us first, we will always advise you on the best path, even if this means you need to use a different service or provider.