Corporate Finance Advisory - Regulatory Hosting

Corporate Finance Advisory

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FCA Appointed Representatives for Corporate Finance Advisers


Whilst Corporate Finance Advisory is highly lucrative, it is a highly regulated practice under the UK Financial Conduct Authority and other European regulators.  Whether you are a currently a corporate finance specialist, or looking at the idea of establishing your new venture following a successful career, at Vantage Ventures - we specialise in helping ventures like yours by giving your the autonomy and flexibility to focus and grow your business in on-boarding you as a Appointed Representative in as little as 4 weeks.


Unlike other FCA regulatory hosting providers, we specialise in what we know, as the age old saying goes, 'we stick to our knitting'.  This means, we not only add value in your day to day business with the introduction of new leads; but our AR model is competitively priced in that we know the business area, as well as you do.   

Our model for Corporate Finance Advisory is designed for you to focus on deal origination, execution and value creation, while we look at the regulatory cover and regulatory reporting requirements, allowing you to effectively budget and scale your venture. 

By using Vantage Ventures (VPV), firms are able to provide investment advice or corporate finance advisory services in their own name, far more efficiently and quickly (typically 4 weeks) than awaiting their own regulatory authorisation.   This is particularly common for financial services marketing firms and financial services promotions that also include investment advice.  

We often work with global clients where a qualified non-UK/EU entity/person has the investment discretion and the onshore firm (domiciled in the UK/EU) is required to provide advice to potential investors.  This is particularly common for clients originating from USA and Asia who are seeking to raise capital for their investments funds in Europe.  


Why become Appointed Representative for your Corporate Finance advisory business?

To set up as a Directly Approved Firm is a resource intensive, lengthy and costly process where you would need to demonstrate a sound business model and track record in corporate finance services.   Often, the Appointed Representative route is cost effective and better value in terms of resource requirements and the back office support functions available from the FCA principle firm, allowing you to focus on your core business. 

Whether you are currently an Appointed Representative looking to move to a new FCA Principal or thinking about launching your Corporate Finance business as an Appointed Representative, we can help with a complete turnkey solution, allowing you to focus on your business and value creation, whilst we look after all non-core activities such as regulatory compliance.  

If you are moving from another FCA principle firm, we do not charge an on-boarding fee.


Our Corporate Finance Advisory Fee Structure

We understand the impact that COVID-19 has had on the global markets and in particular the Corporate Finance Advisory market, which is why we have actively been working with our regulated investment partner, Vantage Point Capital and our existing partners to develop a fair and flexible method of operating, such as;

  • Fixed Fee Monthly model
  • Deal by Deal model
  • Fees Contingent on Deal Completion

The formal legal status of an Appointed Representative can be found on the FCA website by clicking here. We always recommend that those interested in the Appointed Representative umbrella model read and understand the legal obligations. 

We’re Here to Help if you…

  • Want to get FCA Appointed Representative authorisation in as little as 4 weeks;
  • Need assistance in compliance and oversight, whilst having direct control;
  • Want to focus on deal origination and value creation, whilst we look at regulatory compliance;
  • Are not happy with your current FCA Principle and want to work with someone more supportive towards your strategic direction;
  • Are looking for a Principle with a wide range of FCA permissions to conduct your business in UK & Europe
  • Want to advise on Corporate Finance Advisory solutions in the UK & Europe

Our Objectives in Helping You…

  • Help you grow and develop your Corporate Finance advisory firm with like-minded partners and service providers;
  • Offer strong corporate governance and ongoing regulatory compliance;
  • Allow you to focus on deal origination & value creation, whilst we look after your regulatory compliance;
  • Ensure your financial stability by offering flexible working agreements;
  • Enable you to work with your new and existing clients and partners with reassurance and confidence.
  • Help you grow as a financial services firm.

Appointed Representative Vs Direct FCA Authorisation?

  • No FCA returns or annual fees;
  • No Capital Adequacy or Auditing Requirements;
  • Access to Vantage Ventures compliance resources;
  • Ongoing compliance training;
  • No SMF16 or SMF17 requirements;
  • We are your back office and compliance team, promoting industry best practice;
  • Become an FCA Appointed Representative in as little as 4 weeks.

Direct Authorisation – Things to Consider:

Vantage Ventures help you become directly authorised by the FCA as your business grows. Here are some regulatory, compliance and financial considerations to think about when becoming directly authorised:

  • Application process can take up to 12-18 months;
  • Annually audited accounts by an independent auditor are required;
  • Management & Forecast accounts will be required;
  • A sound Compliance Framework is necessary;
  • AML and Compliance Monitoring Programmes are required;
  • Regulatory Capital must be posted;
  • Dedicated personnel for compliance, anti-money laundering and regulatory functions are required;
  • FSCS annual fees may be payable (depending on the firm's activities);
  • Annual FCA fees may be payable;
  • FCA GABRIEL reporting is required twice annually.
  • Professional Indemnity and Directors' & Officers' Insurance

Key Contacts