Robert Quinn Advisory LLP

The marketing and regulatory FCA umbrella solution enabling financial
services companies to undertake regulated activities,
quickly and cost effectively, in the UK and Europe.

Overview

Robert Quinn Advisory LLP (affiliate of Robert Quinn Consulting Ltd) offers a marketing and regulatory FCA umbrella, which allows firms to market and provide investment advice in their own name.

As an RQA client, you are supplied with our own UK regulatory permissions, allowing you to quickly start and operate your business. RQA provides all the relevant regulatory Financial Conduct Authority (FCA) permissions and procedures, while you maintain ownership, name, brand, and control. Under this arrangement, companies assume Appointed Representative (AR) status.

As an added benefit, RQA clients avoid the administrative pitfalls of regulatory filings and compliance documentation while reducing costs.

We are highly experienced in regulatory compliance and focus on delivering regulatory oversight so you can build your business. Should you require, as additional services, we can help you attain FCA Authorisation and supply longer-term regulatory monitoring solutions.

As a client of Robert Quinn Advisory, you benefit from our:
FCA marketing and regulatory umbrella
Compliance oversight
Review of marketing documentation
Supervision by senior compliance consultants
Access to marketing support and advice

Timing and Fees

To become authorised by the FCA can take a minimum of six months, from start to finish.

While you are a Robert Quinn Advisory (RQA) client, we act as your FCA marketing and regulatory host. With our extensive experience as an independent compliance consultancy, we aim to support your business in the most responsive and cost effective way. The FCA takes three to six weeks to grant Appointed Representative status and associated registration. Subject to the FCA’s approval process to grant Appointed Representative (AR) status, we target on-boarding new RQA clients within six weeks.

We charge a simple monthly fee, with no long-term agreement. We focus on providing compliance oversight, and do not provide operations, IT systems or risk management, making Robert Quinn Advisory an extremely cost efficient choice.



Timeframe of Robert Quinn Advisory (AR) Authorisation vs FCA Direct Authorisation decision process
Types of client
Independent Marketers and Introducers
Business development people or firms
Investment Advisers, Advisory companies
Firms advising an offshore manager
Corporate Finance advisory firms

Your Solution

Robert Quinn Advisory provides the solution for firms who wish to:

Provide investment advice in the UK and the EEA
Promote and market products and businesses while waiting for FCA authorisation
Ascertain commercial and investor appetite, or cornerstone investors, prior to launching a fund, all without spending excessive amounts of money on fund documentation
Obtain relevant experience or exams, before obtaining your own FCA authorisation
Establish and develop that the business model works, whilst under another specialist firm’s supervision, before assuming full FCA responsibility
Avoid the administrative and compliance burden of direct FCA regulation
Leverage Robert Quinn Advisory’s regulatory capital required for a FCA authorised firm

Why Robert Quinn Advisory?

Robert Quinn Advisory LLP is an affiliate of Robert Quinn Consulting Ltd., an award winning financial services compliance consultancy that provides tailored advice to firms on their FCA, SEC, and NFA/CFTC regulatory obligations.

Robert Quinn Consulting Ltd was founded in 2007 and is one of the largest independently owned compliance consultancies in London. Robert Quinn Consulting is known for its team of dynamic senior consultants and excellent customer service. We understand your business and can offer pragmatic, commercial advice that will help build your business.

Contact Us

We are located in Mayfair and happy to help you with all of your regulatory obligations.

Robert Quinn Consulting Ltd
42 Wigmore Street,
3rd Floor,
London W1U 2RY, UK

Tel: +44 (0)20 7958 9127