FCA REGULATORY APPLICATIONS

COMPLYPORT SPECIALISES IN PROVIDING GOVERNANCE, RISK AND COMPLIANCE SERVICES

FCA & EU Authorisation

Complyport’s team of experts have a deep understanding of regulatory requirements and have earned the trust of over 1000 financial services firms over the past 22 years.  If you are seeking FCA or EU authorisation, our team can provide you with valuable guidance and support throughout your application process.

 

WATCH OUR FCA AUTHORISATION WEBINAR

Our Authorisations specialists have over two decades of experience. This expertise positions us well to advise financial services firms on FCA and EU application and authorisation best practices.

Complyport has been assessed and approved by HM Revenue & Customs Economic Crime Supervision and is HMRC registered as a company service provider for Anti-Money Laundering purposes.

Our experts are able to supply your company with all the necessary compliance documents, policies, and procedures to ensure that you are up-to-date and prepared to trade once authorisation is successful.

Watch our webinar providing a guide for firms planning to submit an FCA authorisation application

Licensing Outside of the UK

With Complyport’s pan-European coverage (with presence in Belgium, the Netherlands, Ireland, Greece, Malta and Cyprus), we assist firms who are looking to be authorised outside of the UK as well. Based on our expertise and experience, the following is a full list of European jurisdictions in which we can manage financial services authorisations:

How Can Complyport Help?

The Authorisation process can be a challenging and time-consuming endeavour. At Complyport, our team has a wealth of experience in dealing with the regulator and their approach to authorisations. We will leverage this experience to provide the best advice and guidance to you throughout each stage of your application.

We offer a flexible approach to suit your needs, providing a fully project-managed service to review and provide feedback on draft applications prior to submission.

Variation of Permissions (VOP)
Change in Control (CIC)
Change in Legal Status

If your firm is seeking to acquire additional licensing to expand its business scope, we can also support you with other regulatory applications such as variations of permissions (VoP), change in control, and legal status. 

Pre-Application Consultancy
  • Our team works with you to understand your goals and activities.
  • We listen to your ideas for the future and ensure the correct regulatory permissions are applied for.
  • We identify and resolve potentially contentious issues before submission.
Construction of the
FCA Application Pack
  • We provide support with drafting or reviewing your regulatory business plan and provide assistance with the preparation of relevant forms.
  • We lend our expertise in supporting the creation of financial projections and key assumptions including our templates.
  • Take advantage of our Template Compliance Monitoring Programme appropriately tailored to your business in the submission of your film’s application to the FCA.
Post Submission Queries
  • We will assist with post-submission issues or queries raised by the FCA.
  • We will advise on the best approach to take when dealing with the FCA.
Provision of Compliance Documentation
  • We provide compliance documentation after your application is submitted to the FCA in order to ensure you are ready to meet your regulatory and compliance obligations.
  • The documentation includes compliance manuals, a tailored Compliance Monitoring Programme, registers and policies.
FCA Interview Preparation

Navigating the FCA SMF Interview process can be daunting. At Complyport, we understand the intricacies involved in securing approval for Senior Management Functions. Drawing from our extensive experience with regulators, we offer personalised guidance tailored to your needs. From reviewing application materials to offering comprehensive coaching, mock interviews and guidance, our flexible approach ensures you’re equipped for success at every stage of the process. For more information, click here

Ongoing Support

Many of the firms we help to get authorised go on to take up our ongoing support services to ensure they continue to meet their regulatory requirements, for more information please click here.

CONTACT US
Please fill out our free consultation form and a member of our team will get in contact for a personalised quote:

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