It might just seem trite, to compare making an application for authorisation to a magic trick, but 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 […]
It might possibly seem run-of-the-mill, to compare making an application for authorisation to a magic trick, but if you’re under any illusion that less-than-perfect preparation suffices, beware. 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.” Obviously, it’s hard […]
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 […]
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Many compliance consultancies will quote you a base price, but then add in extras like the policies and procedures you will need and if you ask any questions throughout the process, the clock starts ticking and you are charged as much as £300 per hour (or more).
Compliance Consultant is different. We provide a full preparation service with you and as part of that will provide you with most templated policies you may need (manuals and procedures are extra). We provide a full Q&A service with no extra charge and, for small firms, will only bill you for the final payment when you receive the go ahead from the regulator.
Many firms are seeking Financial Conduct Authority (FCA) Authorisation these days and we have heard horror stories of
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