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 (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
Outstanding job on every level. We are very pleased with their work. Done on time, done on budget and they know what they are doing. They handled everything with extreme professionalism and delivered our project in a timely manner. We couldn't be happier with the end outcomes, Lee and his team were extremely thorough, understanding and responsive throughout each stage of our contract. We look forward to working with them in the future on our project. Thank you, Lee and Compliance Consultant team.
Very professional company to deal with. Did everything I asked and much more. The quality of the work was exceptional.
Lorena de Carta Financiera
Really Excellent service, speed in the resolution of problems
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.
‘Making Compliance Work’
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