Your first application for authorisation can seem onerous and time-consuming, especially with the added pressure of ensuring that the process is completed correctly. But with our help, this will not be the case.

The FCA application process:

We will ensure that you have the following documentation in place prior to commencing with your completion of FCA Core application forms:

Supporting your application

Our company has have widespread experience in providing support and guidance through the key stages of the application process, and we will assist with:

Our hands-on approach ensures that you will have assistance with:

Regulatory Business Plan

The Regulatory Business Plan is a key element in the authorisation process, since it is the means by which the Regulator assesses whether you are suitably equipped to be an authorised firm. It is important to the Regulator that applicants are able to articulate:

We will be able to tailor support specifically to your needs by either providing you with a framework for the plan or developing a plan for you based on your firm’s profile.

Treating Customers Fairly

It is a statutory objective of the Regulator that is consumer protection and the principle of Treating Customers Fairly (‘TCF’) is reflected in PRA and FCA Principles for Firms, Principle 6 (‘Customers Interests’). This states:

‘A firm must pay due regard to the interests of its customers and treat them fairly’.

This is not a new principle. All authorised firms are covered by the Statements of Principles for Businesses (‘PRIN’). It is important to note that firms’ compliance with regulatory requirements are measured less in terms of their compliance with prescriptive rules and more in terms of whether actions, behaviours and/or outcomes are in accordance with the regulator’s expectations under the Principles, including TCF.

How can we help?

We can help and support in any or all of the following ways: