Regulatory Hosting – Regulatory Incubator/Regulatory Incubation

 

This paradigm shift for start-ups in financial services in the UK was created by Sturgeon Ventures in the year 2000 and the phrase Regulatory Incubator and now, Regulatory 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 portfolio managers to carry out regulated activities with appropriate FCA permissions prior to, “the client firm” obtaining direct authorisation in its own right. The platform provider (the host firm), the incubator, allows its regulatory permissions to be used by the client firm to enable that firm to carry investment advisory and/or marketing services whilst allowing the client firm to retain its own identity, ownership and control. Portfolio Managers sit within the regulated firm, and advisors also sit within the regulated firm. The client firm is set up as an Appointed Representative, that Firm can use its branding ONLY for Arranging, which is introducing party A to party B and giving advice to persons that the Principal Company has permission for. Only a Directly Authorised Firm has the Permission ever to be an investment manager.

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 Authorised Company, please contact Sturgeon Ventures:

E: hello@sturgeonventures.com

T: 020 3167 4625

 

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