FCA Exemption

For a large number of firms engaging in lines of business that require regulatory authorisation can be both a necessity and profitable. One challenge can be gaining regulatory authorisation.

One solution is to become an appointed representative of a principal firm. It is the principal firm that becomes responsible and accountable for the compliant behaviour of its appointed representatives. So in practical terms this provide you with an “a number of honour” under which you can continue can deduct your business. It is of course a requirement that you behave in a compliant manner and conform to all the regulatory requirements but Broadgate consortium will provide you with empathic education training and development to ensure that you fulfil all of your regulatory responsibilities and it is highly likely that this will become a business development exercise NOT a business limitation exercise. The directors and consultants of Broadgate are all business persons who can empathise with the work that you do and will be pleased to work with you to develop the business while complying with all of the regulatory requirements.

Broadgate Consortium has been specifically organised to assist firms that are extremely good at their “core business.” Which may well be engineering, accountancy, retailing high value goods and services, and as an ancillary service. You may need to provide insurance products by way of warranties or long-term guarantees, credit consumer activities as your business model necessitate instalment payments either via a credit company or you accept stage payments. (4 or less instalments can claim an exemption). Such firms, once authorised would be called secondary intermediaries.

Broadgate consortium is specifically designed and staffed to provide a full list of regulatory and compliance services to such firms.