If our appointed representative or fund hosting solutions aren’t quite what you are looking for, or perhaps you are currently an appointed representative and looking to take the next step to becoming FCA authorised, we can help.
We work with the following types of firms:
- Consumer credit firms
- Corporate finance firms
- Crowdfunding platforms
- Private equity and venture capital fund managers
- Financial advisers
- Wealth managers
- Insurance intermediaries
- Payment Services
- E-Money
The FCA authorisation process encompasses a number of elements, all of which we can help with. Broadly, these are:
- Preparing application documents and a regulatory business plan
The core of any FCA application is the process of explaining your idea or fledgeling business to the regulator so they can understand the opportunities you have identified as well as the potential risks involved.
- Preparing financial projections
The aim here is to demonstrate to the FCA that the business has sufficient, good quality capital in place to protect the firm, and its clients, from any internal or external risks.
- Preparing individual application forms
We need to inform the FCA of the key people within the business. This includes those who own the firm, as well as the senior management running the business on a day-to-day basis, so the FCA can assess whether these individuals are fit and proper to run a regulated company.
- Assistance with the implementation of policies and procedures
These will form the backbone of your compliance framework and ensure you get off on the front foot from day one with a strong grasp of compliance matters pertaining to your business. We will help you roll out policies and procedures that will make a difference to your business from day one.
As well as assisting with applications from new entrants in the market, we can also assist with the FCA Change in Control, Variation of Permission and Change of Legal Status processes on behalf of firms already authorised by the regulator.