APPOINTED REPRESENTATIVE

 

 

Regulatory Hosting

Brooklands provides regulatory hosting under the Appointed Representative Regime.

Our FCA authorised and regulated manager enables you to perform regulated activities in accordance with FCA rules and regulations but without the burden of obtaining your own regulatory licence.

Brooklands assumes your regulatory risks and liabilities enabling you to focus on delivering your core services to your clients.

As an Appointed Representative, your firm and its individuals can leverage from the Brooklands Compliance Infrastructure including the Compliance Manual, Policies and Procedures, Compliance Professionals and a dedicated Compliance Portal.

The Appointed Representative Regime reduces the barriers to entry both in terms of time scale to authorisation and costs.
 

Overview Appointed Representative Regime

UK entities must hold regulatory authorisation from the FCA in order to conduct regulated activities.

Authorisation can be obtained by holding an independent FCA licence as an authorised regulated firm or by becoming an Appointed Representative of an FCA regulated Principal.

The Principal “sponsors” the Appointed Representative to perform regulated activities under their FCA Licence.

The Appointed Representative falls underneath the regulatory umbrella of its Principal leveraging from their Compliance infrastructure. 

Appointed Representatives are not subject to the same requirements as independently authorised firms and are not directly responsible to the FCA.

Individuals acting on behalf of an Appointed Representative are directly responsible to the FCA.

 

Brooklands Fund Management Limited is registered in England and Wales (10170491) with its registered office at 25 Green Street, London W1K 7AX

 

Contact us.

Regulatory Status

FCA

Brooklands Fund Management Limited is authorised and regulated by the Financial Conduct Authority (FRN 757575)

Our FCA Permissions (full scope AIFM with MIFID permissions)

SEC

Brooklands Fund Management Limited is registered as an investment advisor with the US Securities and Exchange Commission (CRD 286221)

NFA

Brooklands Fund Management Limited is an exempt commodity pool operator with the US National Futures Association (NFA ID: 0520169).

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DDQ 2021

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