Regulatory Hosting – Regulatory Incubator/Regulatory Incubation

This paradigm shift for start-ups under the Financial Conduct Authority in the UK was created by Sturgeon Ventures in the year 2000 and the phrase Regulatory Incubator and FSA Umbrella now FCA Umbrella began, followed by others in the industry who coined the phrase in later years Regulatory Hosting Platform.

A regulatory hosting platform provides an opportunity for investment advisers and managers (the client firm) to carry out regulated activities with appropriate FCA permissions without, or prior to, the client firm obtaining direct authorisation in its own right. The platform provider (the host firm) allows its regulatory permissions to be used by the client firm to enable that firm to carry out investment management, investment advisory and/or marketing services whilst allowing the client firm to retain its own identity, ownership and control. The Incubated Firm usually starts as an Appointed Representative.

For further information on our Regulatory Hosting solution, please visit our Regulatory Incubation page.

If you’d like further help or want to become an Appointed Representative working with an FCA Umbrella Company, please contact Sturgeon Ventures.

 

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ACQ5-Global-Awards-2016-Regulatory Hosting Platform 2016