Appointed Representative
We provide Appointed Representative services for investment advisers undertaking regulated activities in the UK, with oversight, compliance monitoring and reporting.
提供サービス
An Appointed Representative (AR) is a firm that can carry on regulated activities under the permissions of an FCA authorised principal. Relevant activities can include:
- Advising on investments
- Arranging deals in investments
- Making arrangements with a view to transactions in investments
We support firms that transact mainly in unlisted, infrequently traded assets and that work with professional clients. Our service provides an alternative to direct FCA authorisation, reducing time to market and the internal compliance burden. We apply proportionate oversight, monitoring and reporting so that firms can operate with confidence while focusing on commercial delivery.
This model is often used by:
- First-time advisers and fund sponsors
- Non-UK managers establishing a UK presence for fundraising or deal origination
- Spin-outs from larger regulated firms
How we help
Team members
ご支援開始時のプロセス
継続的なサービス提供（対応範囲）
- キャピタルコール、分配、持分譲渡の対応
- LPレジスターおよび資本勘定の管理
- LPAに基づく独立したキャリー計算
- 該当する場合のサブスクリプションおよびリデンプション処理
- GPおよびガバナンス会議の支援
- ファンド条件および投資基準に沿った監督
- ファンドおよびSPVの費用処理
- ドローダウンおよび分配のトラッキング
- NAV、手数料、未払・未収計上および完全な会計記録
- 財務諸表の作成および監査対応の調整
- 必要に応じた資産・不動産レベルの情報連携
- 法定提出書類および継続的なAML対応
- コンプライアンス・オフィサーおよびMLRO支援
- FATCA／CRS報告およびその他各法域の要件対応
- 税務申告に必要な情報提供と税務サービスとの連携
- 該当する場合のVAT申告および関連する納税地でのレポーティング支援
Langham Hall を選ぶ理由
- Speed to market with a clear governance framework
- Experienced regulatory specialists stay close to delivery of services
- Proportionate oversight, monitoring and reporting aligned to your activities
- Ability to integrate AR with broader operational support where relevant
How we work
We scope the regulated activities, agree the oversight framework and reporting cadence, then provide ongoing monitoring and compliance support. Where a firm is building towards direct authorisation, we can support an orderly transition plan. Where managers are transitioning from another Principal, we coordinate closely with them and the FCA to ensure no break in coverage.
Talk to us
If you are considering undertaking UK regulated activity, we can discuss scope, timelines and whether an AR model is appropriate for your operating set-up.
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