regulatory hosting | Exploring the importance of tech-enabled business transformation for principal firms.



Business leaders from trail-blazing services firms – Bovill, IQ-EQ and Fingerprint Supervision – discuss the future of Regulatory Hosting, exploring the opportunity that the FCA’s scrutiny has presented for principal firms that are looking to stick around for the long run, and Appointed Representatives that are looking for guidance on finding Hosting firms that will support them to grow compliantly in the UK’s heavily regulated financial industry.

With the 8th of December (2022) deadline looming after the FCA published its policy statement in late August 2022, principal firms (if not already started) have much work to undertake to ensure they are compliant and on the right side of the regulator. It was a compelling 1.5 hours of thought leadership and debate paired with practical advice and experience sharing.

Our panellists discuss the drastic transformation their firms have undertaken over the last three years (since that infamous ‘Dear CEO’ letter was first published). Providing real-world experiences of what has been a success, what can be learnt from, and what they see as most important for other principals to hone their focus for the next 18 months to ensure they will not just be compliant but can thrive as profitable businesses.

With a foundation of adopting technology to support their businesses to run efficiently, and compliantly, many hosts have seen first-hand the opportunity that technology-driven business transformation has had on their overall profitability, as well as the appeal that a well-run, technology-enabled business has to clients and investors alike. The Regulatory Hosting industry is an important service provision that is a vital support system for the British Financial industry, ensuring it continues to hold its place as a world-leading financial hub, with well-run Principals acting as incubators for innovative financial start-ups, supporting them to become fully fledged, directly regulated firms.


More useful things.