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Regulatory
Hosting

As compliance consulting experts, we understand the benefits that a strong partnership with a regulatory hosting provider brings to your firm’s operations. Our experienced team of regulatory experts can pragmatically manage your regulatory risk, leaving you to focus on the markets and attract institutional capital.

We have over a decade’s experience of being a regulatory host and providing regulatory advice to other platforms.

The benefits of using our regulatory hosting platform include:

  • Hosting is less costly than obtaining your own regulatory license
  • You can spend more time marketing and managing your own product
  • We manage your regulatory risk and reporting, leaving you to focus on the markets
  • We manage your regulatory capital requirements
  • Your firm can get up and running quickly, as opposed to waiting 6-9 months for FCA authorisation
  • We can take care of all your regulatory compliance needs and obligations
  • Our experts are skilled at providing you with pragmatic and commercial advice to help build your business
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We offer two Regulatory Hosting solutions:

1. Investment Advisory

Our advisory platform allows firms to provide investment advice and arrange deals in their own name, as well as marketing of investment services and funds to professional clients. Robert Quinn Advisory LLP is regulated by the Financial Conduct Authority (no. 548030).

2. Investment Management

Our investment management platform, Capricorn Fund Managers Limited, provides investment managers with institutional quality investment and regulatory hosting solutions, and is regulated by the Financial Conduct Authority (no. 505252).

Frequently Asked Questions

Why should I consider using Regulatory Hosting?

Regulatory Hosting platforms that allow small businesses or start-ups to operate under their regulatory license, provide firms with a turnkey solution. It can be much more attractive and commercial than committing the time and expense to obtaining and maintaining direct regulatory authorisation.

Why should I use RQC Group for Regulatory Hosting?

As regulatory compliance experts who have been advising and running platforms for over a decade, we understand the benefits of a strong partnership between a regulatory host and a small firm and how it can efficiently help you build your business. Regulatory Hosting Platforms with strong executive teams and dedicated experienced staff like ourselves can effectively identify and continually manage your regulatory risk – leaving you to focus on building your business.

A new client, a new market or a new fund can all trigger new regulatory issues and new headaches. Taking a less proactive approach may exacerbate that headache and the expense needed to correct it. As an experienced, well resourced, independent Regulatory Hosting Platform, at RQC Group we offer the perfect remedy for these types of headaches.

What issues can a Regulatory Hosting platform help me with?

  • Independent and robust governance arrangements by senior staff who understand the FCA’s expectations
  • Regulatory expertise designed to be pragmatic and commercial
  • Ongoing and proactive compliance monitoring
  • Regulatory reporting
  • Regulatory capital
  • Effective management of conflicts of interest

Frequently Asked Questions

Why should I consider using Regulatory Hosting?

Regulatory Hosting platforms that allow small businesses or start-ups to operate under their regulatory license, provide firms with a turnkey solution. It can be much more attractive and commercial than committing the time and expense to obtaining and maintaining direct regulatory authorisation.

Why should I use RQC Group for Regulatory Hosting?

As regulatory compliance experts who have been advising and running platforms for over a decade, we understand the benefits of a strong partnership between a regulatory host and a small firm and how it can efficiently help you build your business. Regulatory Hosting Platforms with strong executive teams and dedicated experienced staff like ourselves can effectively identify and continually manage your regulatory risk – leaving you to focus on building your business.

A new client, a new market or a new fund can all trigger new regulatory issues and new headaches. Taking a less proactive approach may exacerbate that headache and the expense needed to correct it. As an experienced, well resourced, independent Regulatory Hosting Platform, at RQC Group we offer the perfect remedy for these types of headaches.

What issues can a Regulatory Hosting platform help me with?

  • Independent and robust governance arrangements by senior staff who understand the FCA’s expectations
  • Regulatory expertise designed to be pragmatic and commercial
  • Ongoing and proactive compliance monitoring
  • Regulatory reporting
  • Regulatory capital
  • Effective management of conflicts of interest
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Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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