Regulatory Hosting and Management Company Services

Kroll operates several regulated platforms designed for clients wishing to conduct investment advice, arrange deals or operate private funds, UCITS funds and alternative investment funds via our UK regulatory hosting solution or our Luxembourg-based management company.
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Regulatory Hosting

Our regulatory hosting service enables clients to provide regulated services in the UK as an Appointed Representative of our FCA-licensed entity, Kroll Securities Limited.

Your firm will be able to provide investment advice, arrange transactions, provide corporate advisory services as well as market investment services to professional clients in the UK. The service is entirely flexible whereby you can stay as an Appointed Representative indefinitely or simply be hosted under our service while you apply for your own direct FCA authorization.

For firms looking at the UK as a potential place to do business, initiating a presence via our hosting platform is an excellent way of determining whether to invest more fully into the market. Many of our clients enjoy the freedom of marketing/distributing through our platform while being able to operate flexibly without significant operations in the UK.

The benefits of our hosting service are considerable, most notably:

  • Quick Market Entry: Offer your services to clients within just one to two months, bypassing the need for direct FCA authorization.
  • Full Compliance: With our regulatory hosting service, your business will be adopting best practices, ensuring appropriate policies and procedures in place.
  • Cost-Efficient Setup: Setting up a firm that’s directly authorized by the FCA involves significant cost, including mandatory regulatory capital and the appointment of both a compliance officer and a money laundering reporting officer. Kroll can efficiently handle these requirements on your behalf.

Management Company

Our authorized Undertakings for the Collective Investment in Transferable Securities (UCITS) and Alternative Investment Fund Manager (AIFM) management company (Super Man Co) in Luxembourg provides the necessary substance, financial strength, regulatory capital, staff, systems, reporting disclosure and supervision of delegated activities to fulfil the regulatory requirements.

Our Super Man Co can be responsible for the management of your fund in accordance with the rules of the Alternative Investment Fund Managers Directive (AIFMD) or UCITS. However, typically, we can delegate the portfolio management, administration and distribution responsibilities to you, wherever you are located, while retaining the risk management function from Luxembourg.

We seamlessly integrate into your existing structure, allowing you to focus on your core priorities of managing assets and raising capital. We assist clients in tackling distribution challenges, gathering market intelligence and managing registration/notification/maintenance tasks through a consistent and integrated approach.

Contact us to delve deeper into Kroll offerings and discover how we can help your firm stay ahead.

Ireland Policy Documentation

Luxembourg Policy Documentation

SFDR Disclosure