Regulatory hosting services tailored to your needs

We offer appointed representative coverage for unregulated clients who are looking to sponsor deal by deal transactions and/or who are looking to engage in capital raising activities in the UK.

Our appointed representative coverage is led by experienced industry professionals and can be offered on a standalone basis or alongside one or more of our advisory services.

Our appointed representative coverage typically includes:

  • Completing the FCA application process including in connection with any approved persons
  • Provision of a compliance environment, operational rules and training
  • Assistance with the classification of all investor contacts both at take on and on an ongoing basis
  • Assistance with identification and classification of underlying clients
  • Compliance with financial promotion rules and exemptions
  • Review of marketing materials and provision of necessary regulatory disclaimers
  • Review of email and website disclaimers
  • Ongoing compliance assistance
  • Ongoing regulatory reporting

Contact the team to discuss your regulatory hosting requirements today

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Earlybird instructed Corvus to advise in connection with the establishment of its UK office, obtaining regulatory authorisation for the UK office from the FCA and the UK office’s sub-lease. Corvus also provide ongoing compliance advice. Corvus take a proactive, technical yet pragmatic approach to their advice and have worked closely and efficiently with Earlybird team members, our other advisers and our counterparties to deliver results.

Vincenzo Narciso
Partner Earlybird

“We’ve worked with Corvus on a range of matters including business as usual legal/operational support and transactional work. As a closed-ended funds specialist, Corvus understood our business from the start and were able to provide tailored, solution focused, risk adjusted advice. When picking external counsel to assist with a recent transaction, we had no hesitation in choosing Corvus.”

Rob Shaw
CFO Apera Asset Management

“Corvus worked closely with Federated Hermes Private Markets (formerly Hermes GPE) between February 2020 and August 2021. Corvus hit the ground running and quickly developed a deep understanding of our culture, commercial drivers and risk appetite, blending seamlessly with our investment, finance and tax functions. Corvus really felt like an in-house team and their practical, solutions-focussed advice was highly valued by the business.”

Karen Sands
COO Federated Hermes Private Markets

“Corvus have provided advice to us in connection with our cross-border client distribution exercises for a number of years. While this is a complex area with some significant grey space, Corvus aren’t afraid to take a view on difficult issues and suggest practical, operational outputs.”

Warren Hibbert
Managing Partner Asante Capital Group