Our range of solutions

Frank Investments has a strong and dedicated Compliance service that is offered to suitable businesses. We are not the biggest compliance service offeror and we do not aim to be, we want to work with select like-minded people and businesses who aim to create a successful business the right way. We take compliance seriously and act efficiently to ensure that we offer a first-class service to our clients.

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Regulatory Umbrella Services

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The Compliance Onboarding Process

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Appointed Representatives Supported & Costs Involved

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Why Frank Investments for your Regulatory Umbrella Services?

Navigating the regulatory landscape can be both daunting and time-consuming. We can remove this worry for you so that you can concentrate on growing your business. We will offer practical and clear explanations to help compliance become less onerous.

We offer a friendly, bespoke, and relevant regulatory and business support system for our Appointed Representatives. Coupled with our own experiences of being an Appointed Representative and our knowledgeable compliance team, we are in a unique position to understand the challenges of starting up your business. We can offer a full and tailored package to suit all your business needs.

FAQs

Frank Investments follows a clear and defined process with all of our potential Appointed Representatives to ensure that onboarding and setup are as seamless as possible. Click here to learn more

Frank Investments setup fees are determined by the complexity of the Appointed Representative’s firm and headcount. There will be an initial set-up fee and then an ongoing monthly flat fee. Click here to learn more

Certain costs will be incurred no matter what provider you use to become an Appointed Representative. These are things such as professional indemnity cover and legal fees. Click here to learn more

Frank Investments aims to get you up and running as quickly as possible. Click here to learn more

MEET THE FRANK INVESTMENTS

Compliance Services Team

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Amy Grovit

Head of Compliance

Amy Grovit

Head of Compliance

Amy is Frank Investments' Compliance Officer and manages the regulatory services business. She has worked in the financial services industry for 16 years and has experience on both sides of the compliance fence.

For the 4 years before Amy joined Frank Investments, she was a Compliance Manager at a large FCA umbrella firm with the main responsibility of monitoring Appointed Representatives. Her clients included Hedge Funds (AIFMD), Wealth Managers, Corporate Finance advisory teams, Private Equity, Advisers to offshore funds and Distributors.

Amy started her career at Eldon Capital Management and became Fund Administration Manager responsible for the operational and compliance management of the Investment Manager, UCITS and Hedge Fund. She went with these funds to Hiscox Investment Management and then onto HIM Capital.

She holds the Securities & Investment Institute Certificate in Investments and Investment Administration Qualification.

Amy@frankinvestments.co.uk

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Hannah Barker

Compliance Associate

Hannah Barker

Compliance Associate

Hannah joined the Frank Investments team in February 2020, following a career break to raise a family and move to the country. Her role in Operations and Administration is to support Frank Investments Professional Services.

Hannah also assists EI Advisory a B2B Media Intelligence Company. She previously worked for Knight Frank, London Residential and latterly for Annabel’s (Berkeley Square Ltd) as Private Secretary to the Chairman, Mark Birley.

Hannah@frankinvestments.co.uk

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Please contact Amy Grovit to discuss your regulation requirements

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