FCA Regulatory Umbrella landscape

What is an FCA Regulatory Umbrella?

An FCA Regulatory Umbrella provides firms and associated individuals with the permissions to perform regulated activities and/or to show your clients that you hold your business at the highest level of diligence and professionalism.

How is a regulatory umbrella structured?

Under a regulatory umbrella your firm will become an appointed representative of a principal firm that has direct authorisation with the FCA, such as Met Facilities. As an appointed representative your firm will be granted the permissions of the principal firm to conduct regulated activities. Key individuals within your firm will be registered as Approved Persons so they can perform these activities, such as:

  • Arranging and advising on investment
  • Brokering
  • Corporate financial advisory
  • Marketing
  • Portfolio and Risk management

Under the regulatory umbrella your firm will be able to focus on executing and growing your business, while Met Facilities will be responsible for compliance procedures, processes and supervision as well as the reporting required to the FCA.

What are the benefits?

Once your firm is invited under the Met Facilities umbrella it will experience all the benefits that accompany a directly authorised FCA firm.

  • Permission to carry out regulated activities
  • Credibility, Professionalism, Accountability
  • Freedom to focus on performance
  • Regulatory horizon scanning i.e.; Mifid II (Early 2017)
  • Compliance expertise
  • Robust infrastructure
  • Technological expertise
  • Legal, accounting and audit relationships

We focus on you. You focus on your business.

As we complete the application to the FCA to register your firm as an appointed representative, we will simultaneously promote the most appropriate individuals within your firm to become approved persons who will then be allowed to perform regulated activities. Met Facilities will manage the compliance and regulatory piece of your business, leaving you to focus on building your business.

Next steps?

Get in touch to learn how we can help. We are personal, professional and experienced. We see every problem as an opportunity and our experience has allowed us to create regulatory hosting solutions where others have faltered.

Please get in touch either via email, info@metfacilities.com, or phone, +44 (0) 207 604 5777, to find out how we can facilitate your business.

Please visit our microsite at www.metfacilities.com to find out more.

Met Facilities LLP is authorised and regulated by the Financial Conduct Authority (FRN 587084)