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FCA Authorisation Application for Financial Services

The FCA authorisation process has taken on a heightened importance in the regulator’s array of resources as this is seen as the first line of defence to protect the financial system. Obtaining permission from the FCA to conduct ‘regulated activities’ in the UK can be complicated, expensive and time consuming. This involves understanding the regulator’s assessment procedures and preparing for the regulator’s authorisation process, from putting together an application pack, to assisting with responses to questions raised by the regulator.

Our regulatory compliance consulting team has dealt with the authorisations of a large range of solo-regulated firms. We have a skilled team with experience of working closely with the regulator, and who are familiar with its authorisation process.

As part of our service we offer:

  • Assistance with completing all necessary FCA forms
  • Provision of draft compliance documentation required to be submitted with the application
  • Assistance with regulatory requirements
  • Assisting with communications and interaction with the FCA during the application process

 

Our team covers key global financial services centers and contains individuals who have held senior risk and compliance positions in global institutions, as well as former regulators

We work in partnership with our clients enabling us to provide a full service, combining deep regulatory knowledge with practical industry experience

Our methodologies and solutions are tailored to each assignment and client and consider the regulatory environment and the client’s business model, commercial aspirations, risk appetite and internal governance

By understanding the needs of each specific client we can tailor our teams accordingly, ensuring that there is sufficient practical and technical knowledge and experience applied to each project

Related Compliance Specialisms

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