Regulatory Hosting

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

If you’re looking to expand your operations into Europe, our UK Regulatory Hosting platforms are ideally placed to help you. We understand the benefits that a strong partnership with a hosting provider brings to your firm’s operations and your ability to attract institutional capital. Our experienced executive team and dedicated senior staff can pragmatically manage your regulatory risk, leaving you to focus on the markets.

Regulatory Hosting

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

Benefits of using our Regulatory Hosting platform

Less costly than obtaining your own regulatory license

More time spent marketing and managing your own product

We manage your regulatory risk, leaving you to focus on the markets

Get up and running within a matter of weeks, as opposed to waiting months for FCA authorisation

We can take care of all your regulatory compliance needs

Our experts are skilled at providing you with pragmatic and commercial advice to help build your business

We offer two Regulatory Hosting solutions - an Advisory Platform and a Discretionary Platform:
RQC Advisory

Our RQC Advisory regulatory 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).

Learn more
CFM Hosting

Our CFM Hosting regulatory platform hosts financial services firms who wish to manage EEA and non-EEA alternative investment funds, UCITS and managed accounts. If you want to undertake discretionary investment management or wish to outsource your requirements under AIFMD, our platform can offer a solution to your requirements. Capricorn Fund Managers Limited is regulated by the Financial Conduct Authority (no. 505252).

Learn more
Why should I use a Regulatory Hosting company?

The emergence of Regulatory Hosting platforms and authorised firms that allow small or young businesses to operate under their regulatory license, provide managers with a turnkey solution. It is much more attractive, in these uncertain times than committing and dedicating time and resources to obtaining and maintaining direct regulatory authorisation.

Why use RQC Group for Regulatory Umbrella Hosting?

As Regulatory Hosting and Compliance experts, at RQC Group we understand the benefits of a strong partnership between a Regulatory Host and a Manager and what it can bring to a firm’s operations and also to the ability to attract institutional capital. Regulatory Hosts with strong executive teams and dedicated experienced staff like ourselves can identify and continually manage your regulatory risk - leaving you to focus on the markets.

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 put the trust between you and your clients at risk. As an experienced, well resourced, independent Regulatory Host, at RQC Group we offer the perfect remedy for these types of headaches.

What issues can a Regulatory Hosting platform help you with?
  • Governance arrangements:

    First on the FCA’s list of concerns at principal firms was a lack of effective governance arrangements and deficient risk control frameworks. Citing SYSC 4.1., the FCA states that firms must have:

    - Robust governance arrangements;
    A clear, organisational structure with well defined, transparent and consistent lines of responsibility;
    - Effective processes to identify, manage and monitor the risks it is or might be exposed to; and
    - Internal control mechanisms, including sound administrative and accounting procedures and effective control and safeguard arrangements for information processing systems

  • Ongoing monitoring:

    The FCA has expressed significant concern over inadequate and ineffective compliance monitoring. Platforms should have full-time, dedicated senior compliance practitioners robustly reviewing all aspects of a manager’s business, as well as the ability to monitor daily, weekly and less frequent trading strategies.

    These arrangements should also include the supervision of recorded lines and e-comms. All of which requires the platform to employ individuals that have significant experience on the buy side, as well as systems that can adapt to and monitor its universe. Having this in place means a manager will have a compliance monitoring programme tailored specifically to their business.

    Higher risk areas should be flagged and monitored with an appropriate frequency. As the FCA noted, monthly trading checks on a manager that trades daily are not acceptable.

  • Capital requirements and liquidity assessment:

    Another point of concern raised by the FCA in respect of Appointed Representative (AR) platforms, is that platforms need sufficient financial resources to meet their obligations and the obligations of their ARs. How that arrangement is structured may be a commercial matter for the platform and its managers, but the obligation remains with the regulated firm.

    It is also clear that platforms need to be on top of their fixed overhead requirements, liquidity assessment and the limitations of professional indemnity insurance. In addition, the FCA has found that revenue from regulated activities conducted by the AR was not being correctly reported.

    A knowledgeable regulatory host will ensure that appropriate mechanisms are in place from the outset of the engagement to mitigate the risk of incorrect reporting. Does the regulatory AIFM have the ability to monitor capital requirements and mechanisms to deploy more when needed, for example on the receipt of investor capital into the fund?

  • Conflicts of interest:

    The FCA has focused on the identification and management of conflicts for the past few years and MiFID II highlighted that this trend will continue, regardless of the potential disruption new regulations may cause.

    Successful platforms will recognise that their business model has inherent conflicts which need to be appropriately identified, managed and monitored.

  • Proactive management:

    In order to thrive, platforms will need a corporate governance structure that facilitates team decision-making and withstands institutional level challenges.

    Consistent with the FCA’s comments on diversity, a senior management team or board of directors with a range of different financial services experience can be well-placed to identify the risks and conflicts that each manager poses. Senior individuals are a product of their experience and lessons learned earlier in their careers.

    Focusing on and using that diversity of experience will provide a platform with the tools to succeed, as it will have the ability to identify and manage a much broader set of risks. Having a single stakeholder make decisions that focus only on profit margin or sales can lead to an ineffective control framework.

Other services
Download our Regulatory Hosting brochure


Accessible

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

close-link


Automated

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

close-link


Affordable

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

close-link


Certified

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

close-link


Measurable

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

close-link


Fast

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

close-link


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.

close-link
Basket
There are no products in the basket!
Continue shopping