Appointed Representative

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By becoming an Appointed Representative, a firm is able to carry on regulated activities under a contract with a Principal Firm which holds the regulatory permissions and compliance infrastructure the firm requires.

Resolution Compliance Limited has a number of RoboAdvice based firms working with it as appointed representatives.

There are many key benefits provided via this route, with Resolution’s efficient processes and governance already in place, it is an integrated solution for RoboAdvice start-ups. We ensure the process of becoming an Appointed Representative is thorough but speedy; our experience having allowed us to develop a detailed and efficient process to allow us to act quickly to assess your firm’s suitability, including undertaking the necessary due diligence to make sure your key people are fit and proper.

Firms can use this solution either whilst they are applying for direct authorisation or if they require the governance and framework of a large financial institution and the skills and expertise of the Resolution Compliance team.

Feel free to call us for a no obligation assessment of the best approach for your business

Telephone: +44 (0)20 7436 0630

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