Appointed Representatives (ARs) are individuals or organisations who either already manage, or aspire to manage, their own social purpose business. By becoming an AR, through our wholly owned subsidiary The Social Investment Market CIC Ltd (SIMCIC) which is authorised and regulated by the Financial Conduct Authority (FCA), Appointed Representatives can arrange investment transactions and provide investment advice.
Appointed Representatives retain their own distinct brand, ownership and business strategy but with the added benefit of our compliance knowledge, systems and procedures. We take care of the administrative burden of regulatory filings and maintenance of systems and controls whilst our Appointed Representatives are left to grow and focus on their regulated business. Partners can also use our impact evaluation tools and methodologies, access our social sector networks and benefit from a bespoke training programme.
Compliance And Regulatory Solutions Offered
• Regulatory umbrella hosting
• Applications to FCA for all Approved Persons
• Review of marketing materials and Financial Approval sign off
• Supervision and oversight by compliance specialists
• Compliance training
• Ongoing compliance monitoring
How We Work
Appointed Representatives work on a range of projects to grow the market for impact investment. These may include working with clients of Investing for Good.
Product Innovation
Developing new financial products that align social and financial returns with the interests of the social sector and socially motivated investors
Capital Raising
Supporting social sector organisations to scale their operations and impact by raising debt, equity or outcomes-based finance at scale
Advisory Projects and Research
Market intelligence that assist impact investors to deploy impact capital or assisting social purpose organisations to create financial solutions to social challenges
Appointed Representatives Profile
Appointed Representative status is appropriate for individuals who have had a successful career in banking, finance, consulting or the third sector and are interested in exploring how to use their expertise to make a difference in society. Appointed Representatives are entrepreneurial and experienced professionals who can confidently lead the execution of capital raising and advisory mandates with clients whose business models deliver financial returns and high social impact. Appointed Representatives undergo a formal due diligence and selection process.
Partners must have:
Strong interest in how investment approaches can be used to drive social impact
Experience delivering complex consultancy projects
Strong communication skills and experience of client management
Prior experience working in the social sector or volunteering
Why work with us?
Navigating the regulatory landscape can be both daunting and time-consuming and we believe we offer a friendly, bespoke and relevant regulatory and business support system to our Appointed Representatives. Our principals have enjoyed long careers in financial services, asset management and corporate finance and been through the start up process themselves. We are not seeking to become the largest regulatory umbrella organisation but the one that delivers the most social value. Our expertise in impact evaluation, access to impact methodologies, analytical tools and market leading publications, training programmes and our affiliations and networks across the social finance and impact investing sector are all available to our Appointed Representatives.
Express interest
Case Study - Bristol and Bath Regional Capital CIC
