Welcome Capricorn Regulatory Hosting

We provide a Regulatory Hosting Solution for Appointed Representatives, MiFID Managers and Alternative Investment Managers (AIFMs) to get you to market quickly and efficiently. This can make you attractive to institutional investors due to a comprehensive operational and regulatory infrastructure.

You avoid the burden of regulatory filings and having to create a compliance infrastructure, we look after all of that. You concentrate on what you do best.

You can be on-boarded and be conducting regulated activity in approximately 6 weeks.

Capricorn Regulatory Hosting (allied with Robert Quinn Consulting) is passionate about partnering with investment managers of the future and building businesses together. It is part of the wider Capricorn Capital Group, an international family office.

About Us

Capricorn Regulatory Hosting is a partnership between Capricorn Fund Managers (CFM) and Robert Quinn Consulting (RQC) providing firms with:

  • Appointed Representative status; and
  • Regulatory Hosting services

The Capricorn Capital Group has offices in London, Johannesburg and Hong Kong. It has access to a global network with support services in Singapore, Mumbai and Mauritius.

RQC is a highly regarded compliance consulting firm with over 11 years of expertise in FCA, SEC and CFTC compliance and UK regulatory hosting. It has offices in both London and New York.

What Types of Firms & Activity can we cover?

Our regulatory hosting platform enables firms to undertake advising, arranging and investment management activity in the UK. Capricorn Fund Managers (the Principal) will grant client firms the use of its FCA regulatory permissions under its supervision enabling the client to concentrate on their investment performance while retaining control of their distinct business strategy, brand, and ownership structure.

The provision of regulatory cover will be subject to initial due diligence and ongoing oversight. Each client will receive compliance expertise, regulatory advice, and documentation throughout the process.

What Types of Firms & Activity can we cover?

The regulatory hosting platform enables the client to undertake the following services:

  • Advisory, Arranging, and Marketing
  • Investment Management
  • AIFM Hosting
Advisory, Arranging and Marketing services

If a client firm wants to use advisory, arranging and marketing services all that is required is for them to become an appointed representative of Capricorn Fund Managers.

Investment management services

If a client wants to undertake discretionary investment management, each individual investment manager will be seconded onto CFM's platform to enable the use of the CFM's regulatory permissions.

CFM will second the individual and then act as the investment manager to the fund. CFM will have no involvement in the firm's trading strategy. The secondees will be FCA approved persons and this will be detailed and facilitated in the agreement.

AIFM hosting services

For AIFM services, CFM will be the AIFM to the client fund while then delegating either the risk management function or the portfolio management function to the client. By retaining one or the other, CFM will remain the AIFM. The compliance with the AIFMD is covered by CFM and RQC.

Onboarding and Ongoing Hosting
Fees

An initial set-up fee which is dependent on the complexity of the firm and the number of people involved. This will cover the onboarding due diligence and applications to the FCA for the firm and individuals. Thereafter whilst on the platform, the firm will pay a monthly fee.

Contact:
Jonty Campion: jcampion@capricorncapital.com    |     Sarah Donnelly: sdonnelly@robertquinnconsulting.com