Appointed Representative Service

In a constantly changing compliance landscape, Boston and Alexander make sure that you and your company remain aware and compliant of all essential UK FCA regulations and requirements while allowing you to focus on growing your business.

Efficient and Flexible

Direct FCA authorisation can be a timely and expensive process, especially for a new start-up or growing business. Boston and Alexander can offer a simpler and more straightforward alternative solution to direct FCA authorisation by using our regulatory licence to conduct your regulated activities. Our team of compliance experts and strong management culture are able to assist you in becoming an Appointed Representative (“A/R”) and guide you through the whole process from start to finish by offering a continuous standalone compliance solution throughout the lifetime of your A/R contract, keeping you up to date with the ever changing landscape of UK regulation and compliance requirements.

Expert Advice and Extensive Knowledge

Our compliance teams established expertise in risk, regulatory finance and compliance will help you ease the administrative burden and provide you with the essential policies and procedures to grow your business. We have partnered with one of the most respected regulatory consultancies “Effecta Compliance” to ensure that everything from gaining your Appointed Representative status, on-boarding and the FCA registrations and AML/KYC surveillance, to observation and periodic monitoring of your business compliance is made in a timely manner while reducing risks and increasing efficiency. We have access to and use a number of recognised service providers and Regtech platforms to help with the on-boarding process, initial and on-going training requirements and compliance monitoring reviews.

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Longstanding Relationships

We have been offering our Appointed Representative services on a select basis to professional and institutional clients since 2003 and we pride ourselves on building long-lasting relationships. From the very first day the dedicated compliance team will be with you, leading your day-to-day compliance procedures and providing you with on-going support and training you can rely on.

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Critical Partnership

We carefully scrutinise and check all applications to ensure your business fits our criteria and that we are able to build a long lasting transparent relationship with your company and your client base. With our full-scope services and transparent fees policy we will be here to take care of your day-to-day compliance and regulatory needs to let you focus on growing your business.

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Our Services

Regulatory Hosting Platform

Boston and Alexander’s appointed representatives’ service provides a regulatory umbrella where firms can utilise and enable Boston and Alexander’s FCA permissions to carry out regulated activities such as advising on, arranging and managing investments.

 

Compliance Training

Boston and Alexander offers a complete list of self-paced compliance training courses that cover the Conducts of Business rules and regulations of the Financial Conduct Authority (FCA).

 

We also offer in house face-to-face training if required on more specific topics and the latest updates and changes to compliance requirements as industry best practice changes.

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Continuous Compliance

Boston and Alexander provides a wide range of compliance support with periodic monitoring visits, reviews of Anti-Money Laundering (AML),  Know-Your-Customer (KYC) and Customer Due Diligence (CDD) procedures, assisting with Money Laundering Reporting Officer (MLRO) reports and controllers as well as close links reports.

 

We will lend you a helping hand for any day-to-day compliance / regulatory / management information queries that may arise so you and your business can be confident that all the necessary company and compliance regulations are satisfied.

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Through our network of service providers and our internal management systems we can also assist and provide further services to your business such as company incorporation, tax planning, employee services, invoicing, bookkeeping, paying bank accounts and management accounts.

 

 

For further information on any of the above services please get in touch to speak to one of our team who will be able to talk you through either starting your business with us or transitioning your business to us from your current provider.

To find out more and to speak with us please 

 
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Other Services

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