If your firm is looking to provide regulated services in the UK and across Europe, we offer a specialized FCA regulatory umbrella platform to allow you to do so under Duff & Phelps’ FCA authorized and regulated entity. This will enable your firm to provide investment advice or corporate advisory services to your professional clients as an FCA Appointed Representative firm of Duff & Phelps Securities Limited.
Whether you are seeking to umbrella under a FCA regularly licensing solution for the longer term, or simply whilst your firm seeks its own FCA authorization, under our solution we aim to ensure that your firm is set-up and fully operational in less than one month.
Our FCA regulatory solution platform is flexible, enabling your firm to provide many regulated activities to your clients, including investment advice, corporate finance advice, agency brokerage activities and marketing.
With our deep understanding of the global regulatory environment, we provide regulatory hosting services in Europe and work with you to ensure that your firm operates in compliance with the relevant regulatory requirements.
All compliance procedures and staff training to ensure you are operating within the current regulatory environment and that internal compliance standards are being met
A review of any outgoing promotional materials to your clients, to ensure regulatory compliance
We will register your firm’s strategic goals and have relevant investment staff registered as Approved Persons with the FCA
Should you desire, we can also help you to achieve your own FCA authorization while you are covered by our regulatory hosted solution
Benefits to your firm
Less time and hassle – you will be able to provide your services to clients within one month, without having to undergo the time, trouble or expense of obtaining a full FCA regulatory authorization
Peace of mind that you are fully compliant – under our regulatory umbrella, we will ensure that best practice is adopted and maintained by your firm, with regards to regulation and compliance procedures
Advantageous to your own FCA hosted regulatory solution – going through this process while under our regulatory umbrella will be more straight-forward for your firm, should you decide to transition to your own FCA authorization
What our clients say
“[Duff & Phelps’] uniquely global compliance team means that we deal with one team simultaneously for our regulatory needs. This is very efficient and has saved us considerable time and resources.”
COO of a multi-billion-pound global hedge fund
“Their deep experience and industry knowledge was essential in helping our Firm develop and implement a robust compliance program that allowed us to successfully prepare for and navigate an SEC visit.”
CCO of a multi-billion-dollar US hedge fund
Explore our findings and navigate the regulatory and financial services developments taking place in 2016.