|
Trevor Robinson Investment Monitoring Ltd. |
|
|
|
Obtaining
Regulatory Authorisation | |
|
| ||
|
| ||
|
| ||
|
| ||
|
| ||
|
|
|
|
|
| ||
|
| ||
|
| ||
|
| ||
|
|
|
|
|
Trevor Robinson Investment Monitoring Ltd. |
|
|
|
Obtaining
Regulatory Authorisation | |
|
| ||
|
| ||
|
| ||
|
| ||
|
| ||
|
|
|
|
|
| ||
|
| ||
|
| ||
|
| ||
|
|
|
|
Do we need to be regulated?
This is the first question that most companies wanting to conduct investment business in the UK ask themselves when confronted by the UK regulatory structure.
The second question is:
How can we get regulated in the shortest possible time?
On another page on this website, we outline how, for several years, we have guided clients through the regulatory maze in the UK, helping them to understand the regulators’ requirements. This business naturally developed into helping clients to apply for regulation in the UK. Many of our clients are former bank traders who wish to set up their own fund management company. Their skills are in the trading environment, not in the detail of setting up and running a new company. They want someone to take responsibility for such areas. The details of the services that we offer such clients is given below, but one major part of our service involves guiding clients through the procedures necessary to obtain the appropriate category of regulation by The Financial Services Authority (FSA).
Often the most important part of this process is the correct completion of the relevant documents. But the part on which most clients tend to focus is the capital required to conduct their particular type of investment business in the UK.
We work closely with you
We do not offer a "black box" solution. We work closely with your existing team, explaining to the Board of Directors and other regulated individuals their responsibilities; clarifying the details of UK regulation; helping prepare the required ongoing financial reports; and monitoring exposure to your investments.
This is what we do for clients:
Help you to create a detailed "business plan", in the style preferred by the regulators.
Assist you in the preparation of budgets to match the business plan, perhaps creating several different "scenarios".
Obtain and complete the appropriate application forms on your behalf.
Monitor the progress of your application through your chosen regulator.
Supply any additional information to the regulator that may be requested.
Prepare relevant Compliance Manuals and Operating Procedure Manuals.
Act as "locum" compliance staff.
Advise on all matters relevant to good quality Corporate Governance.
Provide training in all aspects of regulation for all members of staff, be they directors, traders, fund managers or support teams (for details, see the page on this website headed " Education & Training").
Our motto is:
