Regulatory Hosting
Appointed Representative Services
Eligible firms and individuals selected by Laven are granted permission to conduct regulated activities through our regulated entity. Our Appointed Representative (AR) clients benefit from the competitive advantages of efficient access to UK regulated markets, industry expertise, risk-monitoring, and distinguished networking - receiving value unparalleled in the sector.
Laven is your compliance department
Our Appointed Representative clients benefit from a regulatory solutions model that alleviates them from the complex and costly processes associated with maintaining a regulated status in the UK, allowing them to carry out regulated activities without hiring a dedicated compliance team or procuring costly secondment or consulting services.
Our team is charged with proactively ensuring the compliance of clients to safeguard and provide confidence to their operations in the financial services market, and to mutually uphold the valuable reputations of all stakeholders.
Key considerations of being an Appointed Representative
Regulated activities we do and don't support
Distribution activities such as marketing funds or opportunities, or assisting with fundraising.
Advisory activities such as advising clients on investment opportunities.
Arrangement activities such as arranging investment deals, P2P agreements or making arrangements (with a view) to enter into transactions.
Investment portfolio and risk management services.
Financial products targeted at retail clients or individual clients with insufficient funds.
Associate with an esteemed industry network
Client selection process
Our reputation and the reputation of our clients depends on our stringent selection criteria and processes, which are designed to minimise operational and reputational risk to our platform while being a painless experience for our prospective clients.
Upon application, candidates are asked a set of questions to determine their eligibility for our service.
If eligible, we schedule a follow up call where we further verify applicant suitability and provide a formal proposal for our service.
Onboarding Timeline
- Understand your business and objectives
- Due Diligence on your firm and staff
- Registration of the AR or Fund.
- Submission of appropriate applications to the FCA.
- Final onboarding to build your firm’s compliance infrastructure.
- Periodic meetings for ongoing compliance monitoring.
Appointed Reps
Laven's regulatory hosting platform allows clients to conduct regulated activities as an Appointed Representative of Laven Advisors
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About Laven
Established in 2005 and authorised as a regulated entity since 2006, Laven is a long-established and highly favoured provider of regulatory hosting services in the UK.
