In this guide, we’ll talk you through the ‘what’ and ‘how’ of investment platform permissions…
Getting started
If you’re reading this guide, it probably means you’re thinking of launching a new investment platform – or embedding an investment proposition within your existing client experience.
But before you can take your first step, you’ll need to get your regulatory house in order and make sure you have the right permissions in place to operate.
The exact permissions you’ll need will depend on many different things – such as the size and scope of your firm, and what services you’re looking to offer – but there are some universal points of reference that it will be useful to know before you make the first step in your journey.
That’s where this guide aims to help. We’ll cover off the permissions you’ll likely need, and explore the pros and cons of acquiring them yourself versus becoming an Appointed Representative of a firm that already holds them.
