How Do We Manage Your Application for FCA Authorisation?

admin

6 years ago

FCA Authorisation: 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.

FCA Authorisation: 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 (and set it up in Pathfinder, our software, if you select it)
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

Total Control From Day One – Pathfinder (our all-encompassing RegTech solution) – starting your regulated business activities in complete control of your compliance arrangements (includes free trial and training).

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.