FCA authorisation
Support with FCA authorisation applications: establishing which permissions your activities require, preparing the regulatory business plan, and managing the application.
Services
What we do for firms getting authorised, and for firms staying that way.
Variation of permissions
Support with applications to vary an existing FCA permission - adding or removing regulated activities, or moving from limited permission to full permission.
Appointed representatives
Support for principal firms and their appointed representatives: the appointment process, the written agreement, ongoing oversight, and the regime’s reporting duties.
Consumer Duty
Support with Consumer Duty implementation across the four outcomes, the monitoring and evidence firms are expected to keep, and the annual board assessment.
Ongoing compliance support
Retained support for authorised firms: regulatory reporting deadlines, policy and procedure maintenance, compliance monitoring, and FCA correspondence.
Health checks and ad hoc support
A structured review of a firm’s compliance arrangements against what the regulator expects, and one-off support for firms that do not need a retained arrangement.
GDPR and data protection
Data protection support for regulated firms: UK GDPR obligations, records of processing, privacy information at the point of collection, and ICO registration.
Change of legal status
Support for authorised firms changing legal status, such as sole trader to limited company, including the fresh FCA application the change requires.
Change in control
Support with change in control notifications to the FCA, including section 178 notices, the controller forms, and the supporting information required.