Tag Archives: cf30 fca

Do I Really Need To Be Regulated As An FCA Authorised Person?

Payment services providers, investment firms, most financial services companies and retail credit firms have to be Financial Conduct Authority (FCA) authorised. Here’s a summary of what you must know. With reference to the provisions made under the Financial Services and Markets Act (FSMA) 2000, financial activities have to be regulated by the FCA. Any firm […]

Do I Honestly Need To Be Regulated As An FCA Authorised Person?

Financial services providers, investment company and retail credit firms need to be Financial Conduct Authority (FCA) authorised. Here’s a summary of what you ought to know. According to regulations made under the Financial Services and Markets Act (FSMA) 2000, financial activities will need to be regulated by the FCA. Any firm (whether an enterprise, a […]

Abracadabra – FCA Authorisation Applications

It might sound trite, to compare making an application for authorisation to a magic trick; yet if you are under any impression that less-than-perfect preparation is good enough, take heed. Sarah Rapson, director of authorisations at the FCA said that, “We have begun to take a harder line on submissions that border on the vexatious.” […]

Can You Really Afford Generic Ongoing Compliance Support?

The regulator’s business plan for 2018 has created a raft of focused areas for the remainder of 2018 and start of 2019. From the FCA Handbook there are a number of hotspots and they are determined to use their powers under the FSMA 2000 to progress, investigate and enforce where appropriate. Whatever FCA Regulated Activities you have permissions for, I am sure you will see that there is something for everyone.