REGULATORY UMBRELLA


Our regulatory umbrella provides the relevant FCA permissions to enable you to conduct regulated activities, satisfying all your compliance obligations and processes.
As an Appointed Representative we will provide the necessary regulatory framework for your regulated business activities.

We will complete the registration process enabling you to be up and running in a matter of weeks. Our regulatory umbrella provides ongoing compliance and risk monitoring.

Our clients become an Appointed Representative and retain their brand, ownership and strategy yet with the benefit of receiving FCA regulation from our existing licence, legal and compliance knowledge, systems, procedures and global network of counterparties.

We take care of the extra administrative burden such as regulatory filings, capital adequacy and maintenance of systems and controls whilst our clients are left to grow and focus on their regulated business.


KEEP UP WITH CONSTANTLY REGULATORY CHANGES

Be more cost efficient by not having to constantly try and keep up-to-date but rather be kept update.
Business in a regulated market is constantly changing. The industry is evolving rapidly; clients are demanding greater value and transparency and the regulators continue to define how your business should be carried out.

FOCUS ON NURTURING NEW RELATIONS, LEAVE THE REGULATORY ADMINISTRATION TO US

Invest your time on nurturing existing and building new client relationships. Make use of our network of counterparties. Choose a service package that allows your team to make ultimate use of their time.

OUR SERVICES INCLUDE

  • HELP AND ADVICE ON REGULATORY REQUIREMENTS
  • PROVISION OF DOCUMENTS AND MANUALS
  • FRONT, MIDDLE AND BACK OFFICE RESOURCES
  • ACCESS TO A GLOBAL COUNTERPARTY NETWORK
  • ACCESS TO CUSTODY, CLEARING AND DEEP LIQUIDITY
  • REGULATORY GUIDANCE, SUPPORT AND MANAGEMENT
  • COMPLAINTS MANAGEMENT
  • ONGOING MONITORING, SYSTEMS AND CONTROLS
  • ACCESS TO OFFICE SPACE, EMAIL JOURNALING, WEBSITE CONTENT MANAGEMENT AND RECORDED TELEPHONE SYSTEMS

TRACK RECORD TO SUCCESS

Establish yourself as a valid and viable organisation in the market by having a regulated track record with an established and credible company

SAVE TIME AND REDUCE COST

The initial and ongoing costs associated with FCA Regulation can be significant.
Let us provide Regulatory cover by way of an Appointed Representative framework allowing you to invest in building you core business.

GET FCA REGULATED WITHIN DAYS NOT MONTHS

Getting FCA Regulated can take up to 12 months. However, getting regulation under our existing Authorisation can take as little as 2 weeks.

PRICE PLANS AVAILABLE UPON REQUEST

GAIN ACCESS TO AN fca REGULATORY LICENSE NOW

Compliance and regulatory solutions offered


Outsourced Business support

We understand the challenges of starting up your business from a regulatory, financial and administrative perspective. and can offer a range of solutions to suit all your needs. Through our own team and external associates, we can provide the following solutions:


Types of Clients

The types of clients we are able to provide umbrella solutions will probably fit into one of the below.


What happens next?

 

How much does it cost?

We charge a set-up fee which will depend upon the complexity of your firm and the number of people involved. This will include the due diligence we are required to conduct and the applications to the FCA for the firm and individuals. We will then charge an ongoing monthly fee for use of our regulatory license and our compliance services.

What other costs should you budget for?

the other costs usually associated with becoming an Appointed Representative will include professional indemnity insurance (we can help you arrange this), regulatory exams if deemed appropriate, legal fees with regard to the actual set-up and structure of your firm and your product. 
We can arrange for the following via our well-established network of associates and partners if necessary:

We are totally transparent in our fee structure and will tell you at the outset all costs involved. There will not be hidden extras or unbudgeted surprises.

How long does it take?

Typically, the on boarding can take 1-2 weeks. Once this is complete a submission will be made to the FCA to notify them of the Appointed Representative; this typically takes between 1-2 weeks.
Once the Firm is registered the application can be made for individuals to become Approved Persons and once approved then regulated activities can begin.
Approved Person applications generally take between 1-4 weeks depending on the applicant.
We aim to have you up and running as quickly as possible .

We are here to assist, so please contact us by phone on +44845 86 23456 (selecting new client interest from the menu) or use the form below and a member of our team will revert back to you.

 

Other Information
  • Marshall Sterling Investment Management
  • 14 Hanover Street
  • Hanover Square
  • Mayfair, London, W1S 1YH
  • T: +44(0)845 86 23456
  • E: Info@MarshallSterling.co.uk

© Copyright 2018, Marshall Sterling Investment Management Limited

Authorised and Regulated by the Financial Conduct Authority [FRN: 646917]