Regulatory hosting

Overview

We offer a flexible FCA umbrella solution enabling companies and individuals to operate quickly under an authorised firm. This is achieved by way of an appointed representative or trading name agreement. Our people are qualified and accessible and the Thornbridge team offers a bespoke service to fund managers, wealth managers, platform operators, financial technology companies, litigation funders, third party introducers and financial data providers. A partnership with Thornbridge lifts the burden of regulation allowing management teams to focus on their core activities.

What we do

Understanding regulatory responsibilities can be tricky and complying with all the requirements arduous. At Thornbridge we seek to ease such burdens by offering a suite of services that makes access to regulated activities simple and cost effective. The difficult and complex tasks are left to the experts at Thornbridge, leaving you free to concentrate on your mainstream business.

You need to understand and comply with the regulatory requirements relating to the business you conduct. If you wish to undertake a regulated activity, Thornbridge will help get your firm and people authorised. As an appointed representative of Thornbridge you will receive all the support and advice you need to build a successful enterprise. We will help set up your systems and controls, run the correct registers, treat your customers fairly and assist with the construction of your website and other marketing materials. In short Thornbridge will do all the heavy lifting and de-risk the regulatory burden that applies to you as an individual or firm.

Fund management

We offer fund managers a simple, quick and cost effective route to authorisation. The Thornbridge umbrella provides regulatory oversight for both open and closed end funds investing in a multitude of financial instruments. Thornbridge partners have decades of experience working with managers of a diverse range of financial instruments.

Wealth management

We work with individuals and teams helping them set up and run their wealth management businesses. We offer a one stop solution with Thornbridge providing the regulation piece and our partner companies supporting all other functions including platforms, legal, accounts, HR and general administration.

Crowd funding

We work with individuals and businesses looking to finance a business, project or venture by directly accessing a new brigade of investors that have varying levels of investment expertise. We work with payment flow businesses that provide a complete white label solution for crowdfunding platforms. Thornbridge provides a regulatory umbrella that ensures compliance and support before, during and after fundraising.

Litigation funding

Litigation funding, also known as legal financing and third party funding, enables claimants in litigation or arbitration to manage their costs. Litigation funding activities can include managing, advising or arranging on investments and Thornbridge has experience of working with firms in this sector.

Financial data providers

From a regulatory perspective the supply of financial data often falls into the grey area between providing data and offering financial advice. Thornbridge offers guidance and, where necessary, cost effective regulatory cover.

Financial promotions approval

Thornbridge can assist clients with the preparation and verification of financial promotions prior to distribution to potential investors.

Learn more >

Appointed representative 

An appointed representative is a business or person that wishes to conduct regulated activities and acts as an agent for a firm that is directly authorised by the FCA. This firm is known as the appointed representative’s principal (Thornbridge).

Compliance consulting

The Thornbridge in-house compliance team works in partnership with an independent compliance firm that offers a broad range of advice and ensures Thornbridge remains up to date on all regulatory matters. This arrangement enables Thornbridge to provide the full spectrum of compliance consulting services.

Investor database

Thornbridge offers access to its proprietorial investor database.

Fund insight and analytics

Through our partner company Axicorda, Thornbridge offers insight and analytics on investment funds.

www.axicorda.com >

Contact

Patrick Hall
+44 (0)20 8004 3276
James Bedford
+44 (0)20 8004 3275
Charlotte Deakin
+44 (0)20 8004 3277
View our contact details >