Hosted Regulatory Solution

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.

We provide

  • 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

/services/compliance-and-regulatory-consulting/global/hosted-regulatory-solution /-/media/feature/services/compliance-and-regulatory-consulting/grid-crc-global-advice-desktop-banner.jpg service

Global Advice and Consulting

Contact Us

Other Areas We Can Help

Transfer Pricing

Alternative Asset Advisory

Provides an array of consulting services to alternative investment managers and investors.

Alternative Asset Advisory
Global Advice and Consulting

UK Regulation

Comprehensive compliance and regulatory support for FCA authorized firms.

UK Regulation
Compliance and Regulatory Consulting

Business Services

Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.

Business Services

Insights

Report

The SEC Looks to the Most Vulnerable

Report
Report

What’s in a Name? It’s a Question Regulators Are Increasingly Asking

Report
Report

The Consequences of Concentration in Private Equity

Report
Report

Alternative Data Brings Different Problems

Report