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.

​

​