FCA Authorisation
Our compliance consultancy has supported many firms providing compliance support and advice. We have successfully managed over 100 applications for authorisation. Our team manage regulatory applications and liaise directly with the Financial Conduct Authority (FCA) on your behalf.
Can I trade whilst my application is going through the FCA approval process?
The simple answer is no. However, many of our clients have become appointed representatives whilst their FCA application is being processed.
Get the best advice
Our team will create a project plan to help keep on top of milestones and timelines, ensuring you get quality advice, project management and assistance at all stages.
Working with our team will also ensure you will receive;
- Advice on the FCA Regulated activities you’ll need permissions for
- Advising you on the different FCA Regulatory (including Prudential) obligations specific to your Regulatory Activities
- Advising you on the FCA competency requirements for senior management and other staff
- Assisting you in the preparation of your Regulatory Business Plan
- Assisting in the completion of the necessary forms, including ownership disclosure forms and FCA Approved Person Forms
- Advice on corporate governance, systems and controls
- Providing you with practical and effective regulatory compliance documentation, including Compliance Manual and Compliance Monitoring Programme
- Preparing your senior management for meetings and/or interviews with the FCA
- Liaising with any of your other advisers and with the FCA
- Project managing your Firm’s FCA application from start to finish