Regulatory Umbrella

Newgate Compliance is able to provide a flexible regulatory licensing solution so that our clients can operate quickly under the regulatory umbrella provided by our affiliate firm.

For more information on our regulatory umbrella service please contact us.

Hosted Regulatory Platform

Our clients often need to be able to undertake regulated activity quicker than the length of time it takes to obtain authorisation from the FCA. 

Subject to completion of the due diligence process, our clients can begin to market and provide investment advice as an Appointed Representative of our affiliate firm. We can also arrange for regulatory coverage if the client wants to undertake discretionary investment management.

Longer term regulatory solutions can also be provided if required. 

We can provide regulatory coverage for a wide variety of client types, but most often they are firms who wish to undertake investment advisory and marketing activities and who are:

  • investment advisory firms such as corporate finance advisers or private equity advisers.
  • marketing firms who distribute collective investment schemes such as hedge funds.
  • discretionary investment managers investing in a wide variety of instruments.

We do not offer regulatory coverage for firms who deal with retail customers.

While using the regulatory umbrella, firms will benefit from compliance oversight and assistance from the Newgate team. The firm can begin to establish a track record and build a positive relationship with the regulator that will assist them when applying for direct authorisation.

Newgate will ensure that best practice is adopted for firms using the regulatory umbrella in respect of regulation and compliance procedures, providing any training that is required. This will benefit any of our clients who are using the regulatory umbrella as a stepping stone to full authorisation.