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 assisted over 15 crowdfunding firms with appointed representative status, some of which have gone on to become directly regulated by the FCA.
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 Crowdfunding 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