Marshall Sterling

Get FCA regulated, build performance and AuM 

Are you a trader, portfolio manager or discretionary fund manager looking for a legal and compliant framework to grow performance and assets under management? 

FCA Regulation and Career opportunities for Traders, Portfolio Managers and Discretionary Fund Managers

Elevate Your Trading Business with FCA Regulation

Why Choose Us?

At Marshall Sterling we offer comprehensive support for traders across various markets, including stocks and ETFs, equity derivatives (CFDs, SB, futures and options), FX / currency and commodities.

By partnering with us, you can leverage our regulation to expand your trading operations, attract new clients, and enhance your market presence while we handle the compliance, systems, and controls.

Our Services for Traders

  1. FCA Regulation

Our firm is directly authorised and regulated by the Financial Conduct Authority (FCA), providing you with the credibility and trust needed to trade with existing clients, establish trading lines with brokers and counterparties, and market your services to prospective clients.

Furthermore, our systems and controls framework ensures that the activities conducted are compliant and adhere to legislation governing regulated activities. Therefore you can take comfort that we are conducting activities in 

  1. Track Record and Performance

Showcase your trading expertise and performance with a regulated entity. Our platform allows you to demonstrate your trading skills over time, giving clients confidence in your capabilities and fostering trust.

Let us help you grow with support and guidance 

  1. Comprehensive Support

Focus on growing your trading book and leave the regulatory complexities to us. We offer:

  • Compliance Management: Ensuring adherence to all regulatory requirements.
  • Systems and Controls: Robust infrastructure to support your trading activities.
  • Risk Management: Advanced tools to manage and mitigate trading risks effectively.
  • Client Onboarding and Management: Streamlined processes for client acquisition and retention.
  1. Diverse Market Access

Expand your trading horizons with access to a wide range of financial instruments and markets. Whether you’re trading equities, derivatives, currencies, or commodities, we provide the tools and resources you need to succeed.

By way of our direct FCA authorisation as a discretionary portfolio and fund manager, we have access to a wide range of institutional trading lines that are not open in the same capacity to unregulated persons. This can significantly lower transactional costs, improve trading efficiency with lower latency and fewer trade rejections and deliver better fills. You also gain access to institutional grade trading platforms and research.   

  1. Marketing and Client Acquisition

Utilise our FCA regulation to market your services more effectively. Our support helps you attract high-net-worth clients, institutional investors, and other trading professionals looking for regulated and reliable trading partners.

Cost and Time to Market

Generally speaking, there are three ways to legally trade third-party money. 

  • Apply to become an Appointed Representative of an existing FCA authorised firm
  • Apply to the FCA for direct authorisation. 
  • Operate directly from an existing FCA authorised firm

Of the above, the fastest and most cost effective path is the third option, as set out on this page.

Partner with Us

Joining Marshall Sterling means you can focus on what you do best, trading, while we manage the regulatory compliance and operational aspects of your business. 
Benefit from our expertise, robust systems and comprehensive support to take your trading business to new levels.

Contact us

Are you ready to elevate your trading operations? Contact us today to learn more about how our FCA regulated platform can help you achieve your business goals.

Please ensure you are familiar with the following legislation:

  • FSMA 2000 Section 19
  • FSMA 2000 Section 20
  • FSMA 2000 Section 21
  • FSMA 2000 Section 22
  • FSMA 2000 Section 22A
  • FSMA 2000 Section 23
  • FSMA 2000 Section 24
  • FSMA 2000 Section RAO Article 72G