Should your firm want to become directly authorized by the Financial Conduct Authority (“FCA”) in the United Kingdom (U.K.), market or distribute your funds in the European Union (“EU”) or establish a presence in one of the regulated Asian markets, Alaric Compliance can support the launch of your new office.

How We Can Help

In the U.K., you have the option of becoming an “appointed representative” as an expedient alternative to applying for authorization from the FCA to conduct business as a regulated entity. Direct authorization can take up to a year, and requires a significant amount of resources and documentation. Under our FCA Umbrella Platform, we enable clients to conduct regulated activities within a few weeks, rather than several months.

By serving as the Principal Firm, we assume regulatory oversight of the Appointed Representative and provide compliance and regulatory support. This is also referred to as an “FCA Incubator” or “Regulatory Hosting” arrangement.

If your firm is already directly FCA authorized, we offer a number of outsourced compliance support functions that enable you to remain compliant while minimizing regulatory risk and reducing costs.


Financial Promotion Approvals

Training and Competence Programs

Onboarding of New Employees

Compliance Reporting

Ongoing Compliance Monitoring

Delegated Risk Management

Outsourced Compliance Functions and Administration

Client and Investor Suitability Assessment

AML and KYC Checks

Trading Reviews

Cyber-security Programs

FCA Authorization

Annex IV Reporting

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