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Regulatory Hosting

Regulatory Hosting

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.

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Appointed Representative Regime

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 of the 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.

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What Services can be performed by Appointed Representatives?

Business Activities: Investment Research ; Investment Advisory; Corporate Finance Advisory ;Third Party Marketing; Placement Agent.

Regulatory Activities (permissions): Arranging Deals in Investments; Making Introductions; Providing Investment Advice; Issuing Financial Promotions; Marketing Investment Vehicles.

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Regulatory Hosting

Benefits of Regulatory Hosting

Reduce time to market
Appointed Representative approval can typically be obtained in a month.
Timescale for Independent Authorisation by the FCA typically between 6 to 12 months
Reduced Costs
Benefit from Brooklands synergies.
No audit required.
Reduce time spent maintaining your compliance infrastructure and implementing new regulations.
Reduced Operational Burden
Brooklands provides your Compliance.
Infrastructure including the Compliance.
Manual, Policies and Procedures.
Personnel to implement the Compliance. Manual, Policies and Procedures.
No requirement to hold Regulatory Capital.
No regulatory reporting to the FCA.

Obligations under a FCA Umbrella

Individuals performing Regulated Activities

Individuals who perform the regulated activities under a FCA umbrella require CF30 Customer (AR) authorisation.

Brooklands require Individuals performing Regulated Activities to confirm on a monthly basis that they have complied with the Compliance Manual, Policies and Procedures.

Brooklands require Individuals performing Regulated Activities to submit relevant filings in compliance with the Compliance Manual, Policies and Procedures.

Directors of an Appointed Representative

Individuals who act as an Executive Director of a firm under a FCA umbrella require CF1 Director (AR) authorisation Brooklands require Directors of Appointed Representative to confirm on a monthly basis that the Appointed Representative complied with the Compliance Manual, Policies and Procedures.

Brooklands require Directors under a FCA

Monthly undertakings and submissions are made through your dedicated compliance portal

A Dedicated Compliance Portal

The Brooklands Compliance Portal enables you to fulfil your regulatory requirements:
• The Brooklands Portal provides you with one interface to fulfil all your regulatory obligations
• The Portal is the hub to receive Compliance documentation, updates and to submit all your declarations

Compliance Calendar
Compliance Calendar
You can access your Compliance Calendar which highlights your filing deadlines and confirms all filings have been submitted.
Compliance Submissions
Compliance Submissions
You can submit all Compliance submissions (Personal Trades, Conflicts of Interest and Annual Undertakings) via the Portal.
Documents
Documents
The Portal Repository provides all personnel with access to the Brooklands Compliance Manual, Policies and Procedures.
Relevant Sites
Relevant Sites
The Portal provides quick access to your registrations from the FCA and Companies House.