We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process and keeping you up to date with all the milestones and timelines involved.
You will have quality advice and assistance at all stages of the authorisation process, which includes preparation, filing and ongoing conduct of the application. We are all professionally qualified and experienced in this area of regulated business.
Our Expertise and Services also include:
- Advising you on the FCA Regulated activities for which you will need FSMA Part IV permissions
- Advising you on the different FCA Regulatory obligations specific to your Regulatory Activities
- Advising you on the FCA Regulatory Capital obligations (the money you need to keep in reserve)
- Advising you on the FCA competency requirements for senior management and other staff
- Assisting you in the preparation of your Regulatory Business Plan (or creating one with you for an additional cost)
- Assisting in the completion of the necessary forms, including ownership disclosure forms and FCA Approved Persons/Senior Management Function Forms
- Advice on corporate governance, systems and controls
- Providing you with practical and effective regulatory compliance documentation including required policy templates.
- Finalise your Compliance Monitoring Programme
- Liaising with your other advisers and with the FCA
- Project managing your Firm’s FCA application from start to finish
Additional services also provided are
- Preparing your senior management for meetings with the FCA (if necessary)
- Arranging for Trademark protection
- Training for all Senior Management and Staff in matters from Senior Managers responsibilities and accountabilities, FCA Code of Conduct, Anti-Money Laundering, Conflicts of Interest, KYC and many others.
Download: FCA authorisation – the basic process
If you need any assistance, in strictest confidence,
call us today on
020 8087 2377
or email email@example.com.
Our range of innovative solutions can be tailored to suit your unique requirements, no matter whether you’re currently working from home, or are continuing to go into the office. Our services can be deployed individually or combined to form a broader solution to release your energies and focus on your clients.
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