Regulatory Umbrella Services

Appointed Representatives

We enable companies and individuals to begin conducting regulated businesses quickly and efficiently utilising our FCA licence. Becoming an Appointed Representative enables you to start operating your regulated business very quickly, compared to the often lengthy timeframe of achieving direct FCA authorisation.

The company becomes an Appointed Representative of Frank Investments and retains its own distinct brand, ownership and business strategy but with the added benefit of utilising our FCA licence, support, compliance expertise, and already established systems and procedures.

We take care of the necessary regulatory filings, capital adequacy and maintenance of systems and controls whilst our Appointed Representatives are able to grow and focus on their core business under our regulatory umbrella. 

Whether you are looking for a short-term regulatory incubation service whilst waiting for your own FCA licence to be approved, or you are seeking long-term regulatory hosting cover, we are able to provide you with the cover and support you need.

Compliance and Regulatory Solutions

We have an expert Compliance team who you are able to discuss your business with thoroughly, how you want it to develop and the regulatory permissions you require. We are then able to offer a bespoke proposal for our services. We are dedicated to a strong compliance culture with robust policies and procedures.

AIFM Sub-Threshold Fund Management

Frank Investments can provide full regulatory umbrella services to a firm that is seeking to raise a sub-threshold Alternative Investment Fund (GP/LP Fund). We work with companies to help organise the setup and administration of a fund. Appointed Representatives then structure each deal and advise us on which investment to make, acting as the Investment Adviser to the fund.

We are totally transparent with our fee structure and will inform you at the outset all costs involved.