FCA Support
If you want to provide regulated financial services, we can help you to avoid pitfalls and delays with your FCA authorisation application – whether you are applying for full permission, limited permission or simply seeking a variation. We also deal with changes of control and changes of regulatory status.
Once we establish the type of FCA authorisation you require, if you need it at all, we can then support you with the process, providing all the documentation and information you need to become authorised.
Our team work with you to manage the whole process, from document preparation to online application, answering any questions you have along the way.
We also prepare all the necessary legal documents and/or finance contracts that the FCA require to see, as well as prepare your Regulatory Business Plan, Compliance Monitoring Programme and any other relevant policy and procedure documentation.
Examples of FCA Support
Below are some examples of our work and the services that we can deliver:
Submitting FCA permission applications and variations thereof, notifications and other such required contact with the FCA.
Advising on the impact of Consumer Credit law, including the Consumer Rights Act, the Consumer Credit Act, the FCA handbook, as well as advising and supporting compliance with other relevant financial services legislation and regulations (such as the General Data Protection Regulation, Money Laundering Directives and other related regulations and guidance).
Assisting businesses with formal or informal FCA visits under their powers, as well as with FCA notifications (to include if the issue is a notifiable event, as well as being engaged in large rectifications and remediation projects). This included setting up the review and gap analysis of policies, procedures and evidencing frameworks to ensure correct governance is followed, including advice and compliance with notification requirements.
Advising on structures, arrangements, and processes to assist in compliance with the Approved Persons regime, the Senior Managers regime and supporting the governance and oversight required to successfully maintain the compliance in this regard.