Structuring a Luxembourg GP/LP Fund with support from Expert Analysis Group can greater access to investors and management fee income to the GP

For financial firms looking to enter the regulated market quickly and cost-effectively, the FCA Appointed Representative regime  offers an excellent solution. This approach allows firms to conduct regulated activities without going through the lengthy and complex process of direct FCA authorisation. But what does it take to become an FCA-regulated Appointed Representative ? In this blog, we’ll break down the key steps and explain how Expert Analysis Group  simplifies the proc

Being an AR of expert Analysis Group is a quick and cost effective route to market.

PE Funds can benefit from a partnership with Expert Analysis Group by accessing investors and extracting fees from their GP/LP structure.

For financial firms, ensuring compliance with the Financial Conduct Authority (FCA)  is critical to maintaining trust and avoiding costly penalties. However, compliance can be complex, and even well-meaning businesses can make mistakes that lead to serious consequences. In this blog, we’ll explore five common FCA compliance mistakes and explain how partnering with Expert Analysis Group  can help your firm avoid them. 1. Operating Without Proper Authorisation Some firms unknow

The regulator issues a consultation on re-bundeling research with execution fees - good news for sell side research and buy side investors.

Full Customer Due Diligence is important even for clients that you know very well!

Being an Appointed representative of Expert Analysis Group

Operating a financial services business in the UK without the required authorisation from the Financial Conduct Authority (FCA) is a serious breach of regulations. Here are the potential consequences if you provide services that should be regulated by the FCA but are not: Legal Penalties : Engaging in regulated activities without authorisation is a criminal offence under the Financial Services and Markets Act 2000. You could face prosecution, which might result in a fine or i

Our clients are typical experienced professional who have worked for investment banks, corporate finance firms, private equity firms or investment managers and who want to venture out on their own. The businesses may have just one or several professionals and there may be support or administrative staff. Although it is difficult to generalise, the typical total number of staff at an Appointed Representative of ours would be between one and six staff. The majority of the activ

You will almost certainly need to be regulated/authorised if: you are giving financial advice to someone and your advice is specific to them; and if you are paid on the basis of the success of a transaction in which you are somehow involved.

As an AR of Expert Analysis Group you can: advise on investments, arrange (bring about) deals in investments and make arrangements with a view to transactions in investments.

While acting for both the buy side and sell side in the same transaction is possible, it presents significant conflcits of interest.

Yes, as an Appointed Representative (AR) in the UK, it is generally required to notify the principal firm of any changes, even if they might seem small. This requirement is part of maintaining compliance with the Financial Conduct Authority (FCA) regulations, which emphasise transparency and proper oversight. Key points include: Regulatory Compliance : Both the principal and the AR must ensure compliance with FCA rules, which include keeping accurate and current records. Chan

Get paid for making successful introductions to Expert Analysis Group

AML stands for Anti-Money Laundering, which refers to a set of procedures, laws, and regulations designed to stop the practice of generating income through illegal actions. Essentially, AML rules prevent criminals from disguising illegally obtained funds as legitimate income. These laws cover a broad spectrum of financial crimes involving the laundering of money, including drug trafficking, fraud, and tax evasion, among others. The key components of AML efforts include: Custo

Yes, Anti-Money Laundering (AML) rules will apply if your firm is an Appointed Representative (AR) of a principal firm in the UK. Both the principal firm and the AR are expected to comply with AML regulations. Here’s how it generally works: Responsibility of the Principal Firm : The principal firm, which is fully authorised by the Financial Conduct Authority (FCA), takes on the responsibility for ensuring that its ARs comply with all relevant financial regulations, including

Reverse solicitation allows UK firms to have non-uk clients, but its not straightforward!

We were recently asked whether a firm that is not regulated could partner with a firm that is regulated such that the regulated and unregulated firms could both give investment advice or arrange/bring about deals? The answer is almost certainly no! When two UK-based firms are jointly giving investment advice, both advisors need to be regulated. Some of the requirement and implications are listed below: Regulation requirements Both must be regulated: Each advisor must be au

Yes you can. The FCA permissions that Expert Analysis Group has are typical of those of a Corporate Finance firm. You can dig into the details of what the FCA considers to be Corporate Finance activities at the link below, alternatively you can contact us and we can explain in plain English or look at our regulation pages . https://www.handbook.fca.org.uk/handbook/glossary/G231.html