What is the basic process?
You need to meet the Threshold Conditions, which are the FCA’s minimum standards for becoming, and remaining, authorised; See Our Free Guide.
The process of applying for authorisation requires the proper completion and submission of certain prescribed forms.
An applicant for Part 4A Permission, except in so far as the FCA may direct in individual cases, must apply in
writing in the manner directed, and with the information required, in the application pack provided by the FCA
A MiFID investment adviser or investment manager will generally be a “wholesale investment firm” and should
follow the FCA application pack process for that category. An AIFM under AIFMD will also need to follow the
FCA’s specific process for AIFMs….
Want to learn more? Download our free guide and join our mailing list for authorisation companies (you can opt-out at any time).
We will send you occasional and relevant information regarding the process. We respect your privacy and would encourage you to check out our Privacy Policy above.