New Europe Advisers - Regulatory Hosting and Incubation

NEA Regulatory Hosting and Incubation

By using New Europe Advisers’ (NEA) Regulatory Hosting services, new firms are able to benefit from the following:

• In the case of a start-up firm, the possibility to begin the marketing of its financial services prior to having to go to the expense of applying for its own direct authorisation from the FCA. Essentially this means that, subject to operating within NEA’s scope of permissions and within NEA’s compliance policies and procedures, the AR is able to carry out most of the activities that are necessary for it to be certain that it has a viable offering for which a client base exists. This can be done without having the costly time delay and expense of waiting for direct authorisation from the regulator.
• An advisory firm can carry out its business (whether that is investment advice or corporate finance advice) by utilizing the permissions of its Principal firm (NEA).
• A firm planning to seek direct authorisation from the FCA can commence its activities whilst undergoing the sometimes-lengthy authorisation process, without having to delay its launch for several months. The AR can submit his application for authorisation independently or utilise our application services, which allows more control over the timing of the transition from AR to fully authorised firm.
• A firm can launch its business without having to have in place fully-committed regulatory capital at inception, allowing this to be built up to an appropriate level during this early phase of operations.

The Regulatory Hosting and Incubation service is particularly suited to the following types of firms:

• Adviser/Arrangers: who wish to provide investment advice to professional clients (these could include: authorised firms, funds or elective professional clients).
• Corporate Finance Advisers working with corporate clients and other professional clients or elective professional clients.
• Investment Management firms that do not require authorisation as an AIFM. This includes managers who manage managed accounts and those who operate under a delegation from an AIFM or from the management company of a UCITS fund.
• Placing Agents and other investment marketing firms.
• Independent Research providers.

When considering where to turn for your regulatory and hosting needs, please note that at NEA you will be taken care of by a financial markets professional, with over thirty years of experience, and by a senior compliance professional. We will not put you in the hands of junior associates as we feel that your firm’s future reflects on us and is too important to be left to chance.

If you would like to discuss our Regulatory Hosting and Incubation services in more detail, please contact us at: info@neweuropeadvisers.com