A key part of our business is providing Regulatory Hosting Solutions for companies seeking to offer regulated services that are not, or do not wish to become, directly authorised by FCA.
Our Appointed Representative model provides full regulatory cover, compliance support and access to our wider network of contacts. We do not use a one size fits all approach, but aim to offer a solution to fit our Appointed Representative’s needs.
Similarly, if you are seeking investment advisory or investment management support in order to comply with regulatory obligations, we can provide appropriate support through a Locum arrangement. This is particularly appropriate where an FCA authorised firm, or a firm that is applying to the FCA to become authorised, has insufficient resource to meet the minimum regulatory resource requirements. Talbot Capital itself can act as Locum. Alternatively Talbot Capital can provide nominated individuals, with specific sector expertise, to act as Locum.
If short on resource, having a Locum enables a firm to effectively service its clients at all times.