Corporate Finance Advisory Regulatory Hosting

Capital Raising - UK & Europe

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FCA Regulatory Hosting for Corporate Finance Advisers

 

Whilst Capital Raising for investment funds 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, capital raising or third party marketing 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 you the autonomy and flexibility to focus and grow your business by 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 Appointed Representative model is competitively priced in that we know the business area, as well as you do.   

Our model for Capital Raising is designed for you to focus on deal origination, relationship development and value creation, while we look at the regulatory cover and regulatory reporting requirements, allowing you to effectively budget and scale your venture. 

 

Why become Appointed Representative for your Capital Raising 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 Capital Raising business as an AR, 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 Capital Raising 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 AR 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 relationship building, 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 develop your Capital Raising platform in the UK & Europe

Our Objectives in Helping You…

  • Help you grow and develop your Capital Raising 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 we often see this as natural grow progression for your business venture as it matures. 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