What we do
- Regulatory Hosting: We offer a regulatory hosting service to unregulated companies and individuals who are looking for a quick, safe and compliant route to market.
- Alternative Investment Fund Management: We establish and manage alternative investment funds in the UK.
- Fundraising: We work with early-stage businesses to help raise funds from our network of high-net-worth investors and small institutions.
What is Regulatory hosting?
When your firm becomes an appointed representative of Oxygen, we enable you to carry out investment business using our regulatory permissions. This allows you to operate compliantly whilst retaining your own distinct brand, identity, ownership, and control.
As part of the appointed representative service, we offer compliance solutions that help to make regulated activities more simple and effective, reducing administrative and cost burdens.
As your host or principal firm, we take responsibility for the difficult and onerous tasks of regulation so you can concentrate on your business.
- Quick, process-driven setup allowing speed to market.
- Adherence to our compliance manual and monitoring/compliance support.
- Cheaper than seeking full authorization.
- As an AR a firm is not subject to the capital requirements of fully authorized firms.
How we can help
Becoming an AR is expensive and time-consuming and it can be overwhelming especially when you are launching a new business. We can take this burden from you by offering a clear path to becoming an AR.
Some businesses look to use our service over the medium to long term as this is more proportionate or convenient than becoming directly authorized by the FCA.
We also work with businesses looking to use our service as a temporary measure. This is particularly the case for businesses that want to become fully authorized but also need to operate while their application is being considered by the FCA. For these clients, we set the arrangement up so that you have all systems and procedures in place ready to take on full authorization when the moment comes.
Types of ARs
We work with a range of different businesses as our ARs.
Corporate finance advisors and arrangers – we act as Principals to corporate finance advisors and other businesses that raise capital for investee companies.
Funds advisers and promoters – not only can we act as the experienced fund manager, or AIFM, to your fund but we can also provide an appointed representative for any sourcing and recommendation of deal flow that your businesses need to undertake.
Platforms – we work with online platforms that bring together investors and investments. From platforms that aggregate investment decisions to co-investment clubs, we are able to provide regulatory cover and as part of that ensure the user journey meets FCA standards.
Steps to becoming an AR
Get in touch and one of the partners will have an initial conversation about how we can help your business.
We spend time with new clients to understand their regulatory needs and ensure we understand the corporate priorities within their business.
Once we have completed our due diligence, we will put in place an agreement that outlines which activities you are able to undertake as our appointed representative. We undertake all of the necessary work to register your firm and the relevant individuals on the FCA Register, leaving you to focus on your business.
Once a firm becomes an AR, we provide dedicated support to ensure that remains compliant with FCA Regulations. As an AR of Oxygen, you will have the necessary regulatory permissions and we supply the framework to ensure you remain compliant.
- Introductory meeting: we find out about you and your business, and understand what you need from a regulatory perspective.
- Due Diligence: credit checks, references, business plans, financials, marketing plans.
- Onboarding: Oxygen will make the applications to the FCA for your business and oversee the process.
- Compliance set up – we will take you through the compliance manual and explain what is expected of you/record keeping.
- Ongoing monitoring.
We charge a small setup fee to cover the costs of due diligence and making the application to the FCA for the firm and management. We then charge a monthly fee. Oxygen understands that the pressure on new businesses may be great so we can be flexible in how we charge you. We treat each client individually and would be happy to discuss.
How long does it take
Our aim is always to have you up and running as soon as possible. Typically our due diligence and onboarding process takes 4 weeks. Once the application is made, the FCA’s processes dictate the timing.
What do we provide
- Regulatory umbrella hosting
- Investment management services for funds
- Applications to FCA for all Approved Persons
- Regulatory marketing umbrella
- Review of marketing materials and Financial Approval sign off
- Supervision and oversight by compliance specialists
- Compliance training for your team
- Ongoing compliance monitoring or administrative support
Alternative Investment Fund Management Services
We provide services to management teams looking to set up funds (AIFs) in the UK. We are experienced as a manager in lifestyle businesses, venture capital, real estate, and film.
We can assist you in establishing, operating, and marketing your fund.
- Service tailored to suit your needs.
- Commercial approach to help management teams who do not have the time, resources, or know-how to establish their own fund.
- Speed to market.
- Full service: we work with other advisors to make the process quicker and smoother; lawyers, accountants, custodians administrators.
- Experienced team – we have 20+ years of experience in this sector.
Early-stage businesses are our bread and butter. We have worked with start-ups since 2001, as both investors and advisors. We work with you to provide corporate finance advice and assist with capital raising. Throughout the fundraising process, we are on hand to provide advice and management.
We all have long careers in corporate finance, raising money through our network of IFAs, wealth managers, family offices, and institutions.
The process is led by a member of the Oxygen team working alongside partner firms that can provide additional advice and support.
Above all, Oxygen is experienced, friendly, and affordable.