Facilities Agent Service

Supporting FCA-compliant retail distribution in the UK. We provide a streamlined UK Facilities Agent solution for non-UK domiciled funds marketed to UK retail investors, helping fund operators meet their obligations under FCA COLL 9.4.

 

Our service focuses on access, availability, and responsiveness, ensuring investors can obtain information and submit requests efficiently, while maintaining a clear division of responsibilities with fund operators and their service providers.
Sabrina Dumas

Effective UK facilities arrangements depend on clarity, accessibility, and strong operational discipline. At DM Financial, we provide a structured solution that supports compliance while ensuring investors have reliable access to information and communication channels.

 

Sabrina Dumas, Head of Corporate Secretarial

Core Strengths

Deep Technical
Knowledge

 

Expertise in FCA COLL 9.4 and the delivery of UK facilities obligations for non-UK domiciled funds, supporting a compliant and proportionate approach.

Proven Industry
Experience

 

Experience supporting investment funds and management companies across cross-border distribution structures, with a strong understanding of operational frameworks.

Commitment
to Quality

 

Structured processes, dedicated UK contact points, and robust logging, ensuring requests and communications are handled accurately and promptly.

Doing More

to Simplify UK Facilities Compliance

We go beyond a basic facilities requirement to deliver a clear, administrative solution that supports investor access while integrating seamlessly with existing fund operations and service providers

Providing a UK address for investor correspondence

Maintaining a dedicated UK email contact for investor queries

Facilitating access to fund documentation, including prospectus, KIID/KID, and reports

Responding to investor requests for the latest NAV or pricing information

Receiving and forwarding redemption requests to the Transfer Agent or Administrator

Receiving and forwarding investor complaints to the Fund Operator

Maintaining logs and audit trails for requests and communications

Optional support for KIID/KID production

Providing a UK address for investor correspondence

Maintaining a dedicated UK email contact for investor queries

Facilitating access to fund documentation, including prospectus, KIID/KID, and reports

Responding to investor requests for the latest NAV or pricing information

Receiving and forwarding redemption requests to the Transfer Agent or Administrator

Receiving and forwarding investor complaints to the Fund Operator

Maintaining logs and audit trails for requests and communications

Optional support for KIID/KID production

Meet The Experts