How do we manage your FCA application?

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.

Our expertise and services also include:

  • Advising you on the FCA Regulated activities for which you will need permission
  • 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 Persons Forms
  • Advice on corporate governance, systems and controls
  • Providing you with practical and effective regulatory compliance documentation including Compliance Manual, Compliance Monitoring Programme
  • Preparing your senior management for meetings with the FCA
  • Liaising with your other advisers and with the FCA
  • Project managing your Firm’s FCA application from start to finish

How long does the FCA application process take?

The FCA application process typically takes about six months. The FCA will conduct a thorough review of your business plan and will want to ensure your Firm does not pose a risk to the integrity of the UK’s Financial Services Industry.

Why should you work with us?

We have never had a failed application when the applicant has been able to meet the regulator’s threshold conditions.

Our experience is unparalleled. We have assisted over 1000 firms with their regulatory authorisations and have been at the forefront of the provision of authorisation services since 1988.

We have a dedicated team of experienced compliance consultants who can provide expert assurance and peace of mind. Get in touch to see how we can help your Firm.