Family Offices - FCA Regulatory Hosting

Regulatory Hosting - Family Offices

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FCA Appointed Representatives for Corporate Finance Advisers


Whilst establishing a investment family office is highly lucrative, it is a highly regulated practice under the UK Financial Conduct Authority and other European regulators, subject to the activities and investors with you engage with.  Whether you are a currently a Family Office, 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.


Family Offices throughout the UK and Europe are actively establishing their own regulated structures, often as Appointed Representatives in order to make acquisitions into target companies / sectors, either one hundred percentage, as co-investors and/or seeking outside capital.  Many of the investments can be direct, or through the SPV/fund created by the Family Office designed to attract external capital into such ventures.  

An increasing number of family offices in UK and Europe are ‘going direct’, by creating their own investment vehicles and investment strategies into private companies, real estate deals to control and manage the investments in-house, whilst attracting external capital.  This activity requires FCA regulatory cover, which is most cost and resource efficient to establish as a FCA Appointed Representative, thus allowing the Family Offices to focus on deal origination and value creation.  

Historically, family office funds have relied on fund managers to carry out due diligence on potential investments – however, there now appears to be a clear trend in direct approaches, where the regulated family office can do this directly.  

Why Launch a Family Office FCA Regulated Venture?

  • Greater Control & Faster Decision Making;
  • Attract outside capital and investors for local expertise and 'dis-risking' investments; 
  • Increased value, negotiation power and in turn higher returns
  • Reduced fees and expenses
  • Work with HNWs and Family Offices to invest in your fund as limited partners
  • Social Impact Investing (Philanthropy and sustainable investments)


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 Family Office Appointed Representatives 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. 

Why should a Family Office become a FCA Appointed Representative? 

To set up as a Directly Approved Firm with the FCA is a resource intensive, lengthy and costly process where you would need to demonstrate a sound business model and track record in audited investment management activities.   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 Family Office 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 Family Office Regulatory Hosting Fee Structure

We understand the impact that COVID-19 has had on the global markets and in particular the Family Office investment 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 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 market your services to other family offices and establish syndicated loans in the UK & Europe

Our Objectives in Helping You…

  • Help you grow and develop your Family Office with like-minded family offices 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 Family Office is 'future proofed' for future generations;
  • Enable you to work with your new and existing clients and partners with reassurance and confidence.
  • Help you grow as a Family Office

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:

We help you become directly authorised by the FCA, as we consider this to be the natural progression for your entity 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