FCA Regulatory Umbrella and Hosting Solutions

FCA Appointed Representative (AR) Solutions

FCA Regulatory Umbrella and Hosting Services

Introduction

Marshall Sterling is one of the most experienced operators of FCA Appointed Representative umbrella hosting solutions on the market today.
Our team have decades of experience working within FCA Appointed Representative frameworks, be it historically as a director or adviser of an FCA Appointed Representative (AR) thus bringing an understanding of building a business as an AR, and by hosting FCA Appointed Representatives as a directly FCA Authorised Principal firm

Our Regulatory Umbrella Provides:

Fast and Cost Effective

Swift, efficient and cost-effective implementation with fees starting from £999 and FCA submission conducted in as short as 2 weeks, *subject to detail.

Full setup support

Full setup support from guidance on business plans, financial forecasts and stress testing, senior manager assessment, preparation and submission, regulatory operation systems and controls support. 

Full Infrastructure setup

Full setup with our market leading fixed and mobile recording solutions, email journaling and monitoring, web and social monitoring and approval processes, document handling and tracking.

Full Compliance Infrastructure provided

Policies, procedures, manuals, training, operational guidelines, systems integration and counterparty provision.

Promotions Guidance and Support

Guidance in setting out Financial Promotions that will comply with FCA rules.

Ongoing assistance

Ongoing Business and Compliance support from the full Marshall Sterling team who will avail an average of 25 years investment banking, corporate finance, trading and fund management expertise gained in the most prestigious institutions globally.  

Getting Started

INITIAL MEETING

After first contact we will arrange a meeting with the primary individuals involved in the business to discuss the proposed activities, objectives and the background of key members. The initial assessment also evaluates culture and the type of clients your business is seeking to service. We will explain the process involved in becoming regulated, what Regulatory and internal requirements are expected.

Next steps

If both party’s would like to move forward, we will put a heads of agreement in place, commence due diligence which includes obtaining a formal business plan, CV’s, references from previous employers and conducting various electronic checks including but not limited to corporate ownership, credit worthiness, AML, KYC and DBS. 

FINAL STEPS

Once the assessment is complete and having received back the references and electronic check data, a final Service Agreement is put in place and notification submission is made to the Regulator.

Arrange a call today

Please feel free to browse the information provided below for additional detail or use the above form to request a call today. 

We provide a range of models to suit your requirement

Independent Business Models
Partnerships Models
Direct Integration

Why become an FCA Appointed Representative (AR) of Marshall Sterling

Having been a party to both the HM Treasury’s 2022 ‘Appointed Representatives Regime: Call for Evidence’ and having worked directly with the FCA during the course of 2020 and 2021 as part of the Appointed Representative sector review by the supervision department, we are perfectly placed to understand the regulators expectations and requirements of Principal / FCA Appointed Representative (AR) market participants. This could for example include ensuring that a business plan submitted by a prospective AR is updated at regular intervals, the AR is continuously active (noting this historically was not a requirement set out in FSMA or the FCA Handbook) and the level of non-financial resources, such as monitoring technology and staff, remains sufficient to oversee the level of activities taking place, which Marshall Sterling has always and shall continue to maintain. 

The historic interaction is comforting for our clients and partners, on the basis that we have an up to date view on the regulators review process, and requirements in respect of Appointed Representative systems and controls, both of which can be seen to mitigate regulatory risk moving forward. 
These considerations will enable you to focus on building your business with the peace of mind that the FCA Umbrella Hosting framework supporting you, has a good relationship with the regulator, is a compliant, well run and cost effective Appointed Representative (AR) Hosting facility. 

Our team is highly selective with AR assessment and onboarding and only work with parties that have a level of experience in the market they wish to operate in, and can demonstrate a fit and proper attitude and culture, thus maintaining the good standing and reputation with the regulator and our clients alike. This again can be viewed as a positive risk management aspect of the FCA AR Hosting framework provided by Marshall Sterling

If you are considering setting up a business that will conduct regulated activities, you can rest assured that our team’s expertise in Corporate FinanceInvestment BankingHedge Fund Management and Trading multi-asset cash and derivative markets for institutional and private clients alike will support your business development. 

If you are reading this, you will be aware that being able to conduct Regulated activities such as making a financial promotion, arranging, advising or managing client money requires a certain set of conditions to be met and involves an ongoing range of responsibilities to be maintained.

Much like becoming directly Authorised by the FCA, conducting regulated activities by way of an Appointed Representative requires a level of understanding and expertise, notwithstanding ongoing training, administrative obligations and financial resources. The difference being the time to market is significantly shorter, the costs significantly reduced and the support and guidance provided by Marshall Sterling will be invaluable to your business. 

Having been a party to both the HM Treasury’s 2022 ‘Appointed Representatives Regime: Call for Evidence’ and having worked directly with the FCA during the course of 2020 and 2021 as part of the Appointed Representative sector review by the supervision department, we are perfectly placed to understand the regulators expectations and requirements of Principal / FCA Appointed Representative (AR) market participants. This could for example include ensuring that a business plan submitted by a prospective AR is updated at regular intervals, the AR is continuously active (noting this historically was not a requirement set out in FSMA or the FCA Handbook) and the level of non-financial resources, such as monitoring technology and staff, remains sufficient to oversee the level of activities taking place, which Marshall Sterling has always and shall continue to maintain.

These considerations will enable you to focus on building your business with the peace of mind that the FCA Umbrella Hosting framework supporting you, has a good relationship with the regulator, is a compliant, well run and cost effective Appointed Representative (AR) Hosting facility. 

Our team is highly selective with AR assessment and onboarding and only work with parties that have a level of experience in the market they wish to operate in, and can demonstrate a fit and proper attitude and culture, thus maintaining the good standing and reputation with the regulator and our clients alike. This again can be viewed as a positive risk management aspect of the FCA AR Hosting framework provided by Marshall Sterling

If you are considering setting up a business that will conduct regulated activities, you can rest assured that our team’s expertise in Corporate FinanceInvestment BankingHedge Fund Management and Trading multi-asset cash and derivative markets for institutional and private clients alike will support your business development. 

If you are reading this, you will be aware that being able to conduct Regulated activities such as making a financial promotion, arranging, advising or managing client money requires a certain set of conditions to be met and involves an ongoing range of responsibilities to be maintained.

Much like becoming directly Authorised by the FCA, conducting regulated activities by way of an Appointed Representative requires a level of understanding and expertise, notwithstanding ongoing training, administrative obligations and financial resources. The difference being the time to market is significantly shorter, the costs significantly reduced and the support and guidance provided by Marshall Sterling will be invaluable to your business. 

How Long Does It Take?
Typically, the onboarding can take 1-2 weeks from the time we receive all the required documentation.
Assuming there are no complications with documentation, a submission will be made to the FCA to notify them of the Appointed Representative; historically an average expected timeline for this might take between 1-2 weeks however, there are no assurances on this.

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 historically 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.

In Summary – Why We Stand Out from The Crowd

First and foremost, Marshall Sterling has an intimate understanding of the regulators expectations and confidence that our processes are up to date and robust. The Marshall Sterling brand has in excess of 12 years of experience with Appointed Representative business.

We fully understand what it means to be in your position whilst you launch and grow your business in the area of Regulated Financial Services and are here to support that journey.

Our senior management team carry an average financial services industry experience of more than 25 years’ per person and have developed their expertise and pedigree working alongside and within Tier 1 Investment Banks, Corporate Finance Houses, Hedge Funds, Wealth and Asset Management organisations, Brokerages and Insurance companies.

Our team deliver this expertise to you and your organisation by providing guidance and support before, during and after the FCA registration process, enabling you to usually be up and running in a matter of weeks whilst we look after your Regulatory obligations.

We provide this facility at a significantly lower cost you than most starting from just £999.