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Mirabella Group

Regulatory hosting for financial services
 

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  1. GRC Advisory Services and Technology Solutions in Europe
  2. Mirabella

 

Mirabella regulatory hosting logo

 

The launch of a new investment management firm, or the extension of an existing venture, can take many forms, depending on the immediate requirements of the team involved. Meeting those needs can sometimes involve partnering with an organisation that has deep expertise in regulatory hosting.

Mirabella is the preferred institutional-quality solution for regulatory incubation because of the strong oversight and controls the team brings to each organisation’s project. Mirabella enables firms to get up and running quickly by operating under its regulatory agency. This means that firms can:

  • Market their plans and opportunities faster than the regulatory authorisation process allows

  • Develop business and operational protocols under our supervision before assuming regulatory responsibility

  • Avoid the administrative burden of regulatory filings and compliance documentation

  • Reduce the overall cost of managing their own regulator-authorised entity

How We Help

 

EU Regulatory Hosting

 

Mirabella’s dedicated and experienced team supports firms engaging in the following investment adviser (i.e., MiFID) activities:

  • Adviser/arranger: Providing investment advice to other investment firms or directly to funds, including self-managed funds
  • Corporate finance: Providing advice to corporate and other firms about financial transactions
  • Marketing-only: Marketing investment funds to professional (i.e., not retail) investors across Europe
  • Investment management activities other than acting as AIFM: Managing a managed account, or acting as a delegated portfolio manager for an AIFM or UCITS Manco located elsewhere

Fund investment managers (referred to as “AIFM” firms in the AIFMD) also partner with Mirabella’s regulatory umbrella, which provides a wide range of services. Our clients include:

  • UK firms who are already regulated to provide investment services, but who do not wish to become AIFMs. This includes hedge funds, private equity funds, or real estate firms that are advising offshore managers of PE or RE funds
  • Non-EU firms currently managing assets who do not wish to become AIFMs, or who wish to manage EU funds to take advantage of the AIFMD marketing passport
  • Firms not yet authorised who wish to manage an alternative investment fund (“AIF”)


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Risk Services

 

Risk Consulting Services

ACA provides risk consulting services on a project-led or periodical basis. These services can include:

  • AIFM risk management gap analysis
  • Developing and/or revising risk governance, policies and procedures
  • Advising independent members of risk committees
  • Analysing risk systems, both internal and external

Outsourced Risk Management for an AIFM Wishing to Delegate its Risk

  • We can supply an entire risk package for firms who cannot demonstrate the existence of a suitable risk management function.
  • We can take over an existing firm’s risk process and manage it independently. We do not dictate risk levels or policies, but rather we allow the firm to agree upon these with its clients. Our role is strictly to enforce whatever has been agreed upon independently.

Working in a post-Brexit world with ACA.
 

Now that Brexit transition period has closed, many firms globally need to consider and even adapt their business models and regulatory registration arrangements to continue operating within both the UK and the EEA. This means:

  • Understanding the EU/UK Trade and Cooperation Agreement and the medium-term for financial regulation in both areas
  • European Economic Area (EEA)-based and third-country asset management firms need to consider how to maintain access to the UK market
  • UK firms need to seek a replacement to passporting in order to continue to access EEA markets.

Learn More

Advisory

 

By using Mirabella, firms are able to provide investment advice or corporate finance advice in their own name, more quickly than awaiting their own regulatory authorisation. This solution can also be used in situations where a qualified, offshore entity/person has the ultimate investment discretion and the onshore firm needs to simply provide advice. Other uses for this service include: marketing firms where the activity goes beyond marketing and could include investment advice; and agency.

Marketing

 

When a start-up needs to begin marketing services before a regulatory license is granted, or the level of marketing activity doesn’t justify the cost of a license, Mirabella can help a firm achieve its awareness goals. As a client of Mirabella, firms will be able to market in their own name, safe in the comfort that it will be supporting the entire process and helping to ensure the start-up stays within the detailed regulatory restrictions.

Investment Management

 

Individuals working under Mirabella can act as discretionary investment managers for on-shore and off-shore funds, as well as other mandates. This includes AIFM hosting services. Mirabella helps fund managers across a wide spectrum of asset classes, who use a range of investment strategies, and have a breadth of assets under management, from start-ups managing a few million to established funds of over a billion dollars.

Our Team

 

Since 2004, Mirabella has helped around 100 firms enhance their business by covering them with its own regulatory permissions, managing over $17B in assets. Currently Mirabella is offered in the United Kingdom and Malta (which offers an EU presence). As a regulatory hosting service of ACA Compliance Group, Mirabella’s clients have access to a market-leading global financial services consultancy and technology provider with over 575 experienced professionals and 3,300 clients, with GRC solutions in the UK, United States, and Malta.

Call us on +44 (0)20 3039 3550 to learn more about how we can support you in the launch or extension of your firm.

how we help

Annual Best Execution Disclosure

 

RTS 28 reports in accordance with the European Market in Financial Instrument Directive 2014/65/EU (“MiFID II”):

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