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Regulatory incubation

If you are establishing a new investment business, we can help you with the crucial regulatory aspects of planning and setting up your new business.

The process of applying for authorisation to carry out regulated activities is highly specialised and time consuming. After the application has been submitted, there is ongoing liaison with the regulator and the whole process will often take around six months from start to finish.

As Midmar Capital itself is an FCA-authorised investment management firm, we can provide a regulatory incubation service to start-up investment firms that require FCA authorisation. This enables you to commence regulated activities relatively quickly.

On an interim basis, Midmar Capital would take full regulatory responsibility for your investment team, registering the strategy and individual approved persons with the FCA, setting up the required compliance policies, procedures and documentation, providing compliance training and carrying out ongoing compliance monitoring and review of all regulated activities carried out within Midmar Capital.

Through our partnership with Gem Compliance Consulting, we will also manage your own application for FCA authorisation. On approval, we will then ensure a smooth transition and provide the necessary guidance and support to enable you to assume responsibility for effective compliance oversight.

We can also provide you with support in other key areas necessary to establish your business successfully.

The links on the right provide more information about the ongoing services that we offer.