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.
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
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
Bernie McCormack
Jake Fehily
Sabrina Dumas



