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

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.

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

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

The best way to find out about an FCA regulated firm is to go to the FCA register https://register.fca.org.uk/s/ and use the search function. Unfortunately, its not possible to undertake complex searches so you may end up with a lot of results! Expert Analysis Group is an FCA-authorised principal firm providing Appointed Representative services. Learn more about how we can  help your firm or contact us  to discuss your requirements.

In the UK, bringing investors together to invest collectively in an investment opportunity typically involves regulated activities such as arranging deals in investments or managing a collective investment scheme. Both of these activities require authorisation from the Financial Conduct Authority (FCA), according to the Financial Services and Markets Act 2000 (FSMA). There are many things that you need to consider when bringing people together to invest and the list below giv

An AIFM, or Alternative Investment Fund Manager, refers to an entity responsible for managing one or more alternative investment funds (AIFs). In the European regulatory framework, particularly under the Alternative Investment Fund Managers Directive (AIFMD), AIFMs play a critical role in the oversight and administration of AIFs, which include hedge funds, private equity funds, real estate funds, and other types of investment vehicles that do not fall under the traditional um

Yes, you can manage investments for other people in the UK, but to do so legally, you must comply with certain regulatory requirements set by the Financial Conduct Authority (FCA). The means either direct regulation or becoming an Appointed Representative. Importantly, Expert Analysis Group is not permissioned by the FCA to provide investment management services so you will need to look at other principle firms if you wish to be an Appointed Representative. That said, we do w