EN#0396 – UK FCA Investment Management, operational, regulated by FCA, for sale

An opportunity to acquire a UK MiFID-authorized Investment Management firm with a clean FCA authorization history. The firm is currently operational with live client mandates, which are due to be closed prior to any sale, and is being positioned as a clean, ready-to-use authorized Investment Management for a buyer seeking to introduce its own clients and activities. 

Key Highlights:

•  License and Regulatory Status: The entity is authorized by the UK FCA and holds permissions for:
  • Advising on investments 
  • Advising on P2P agreements 
  • Arranging deals in investments 
  • Arranging safeguarding and administration of assets 
  • Dealing in investments as agent 
  • Making arrangements with a view to transactions in investments 
  • Managing investments 

The permissions are limited to Eligible Counterparty and Professional Client business. The firm does not hold Retail Client permissions. 

There are no reported regulatory issues, breaches, ARROW visits or CASS visits, and the firm has maintained a full and timely regulatory reporting history. 

• Operational Status: The firm remains operational, with live client mandates due to be closed ahead of any sale. It is being positioned as a ready-to-go authorized entity for a purchaser seeking a UK investment management platform. 

• Regulatory Capital: The minimum regulatory capital requirement is GBP 75k, while the firm currently maintains regulatory capital comfortably above the required minimum.  

• Banking Infrastructure: The firm maintains operational bank accounts but does not hold client money. 

• Compliance Framework: The firm has the required compliance, AML / financial crime, business continuity, risk and governance documentation in place, including a Compliance Manual, ICARA, Senior Managers Regime review and Risk Register, which are reviewed annually. 

• Financial Position: The firm has no external debt. Certain intercompany arrangements exist but are expected to be fully resolved and simplified prior to completion of any sale. Ongoing costs are minimal, with the FCA periodic fee being the only unavoidable cost. Other costs, including audit and tax compliance, are provider-dependent and may be reset according to the buyer’s preferred arrangements. 

This UK FCA-regulated Investment Management firm represents an acquisition opportunity for buyers seeking an established authorized structure with a broad professional and institutional permissions set, no client money complexity and a clean regulatory history. Its long-standing FCA authorization, capital position above the minimum requirement and existing compliance framework provide a practical foundation for a purchaser seeking to establish or expand a UK-regulated investment management operation. 

For further information on the sale of this UK FCA-regulated Investment Management firm, please contact our Mergers & Acquisitions team at info@salvusfunds.com. More entities for sale can be found within our Entity Acquisition or Sale page.

SALVUS Funds’ teams can be engaged for guidance on new license authorizations for investment, payment or crypto-asset services, ongoing regulatory compliance consultancy for regulated entities, and support in acquiring ready-made regulated or registered entities. 

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