Authorisation - Complyport UK Consultancy Service

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

On 16 May 2024, the Financial Conduct Authority (“FCA”) brought charges against nine social media influencers in an unprecedented case. On 13 June 2024, at Westminster Magistrates’ Court, three out […] [...]

Understanding the FCA’s Threshold Conditions

The Financial Conduct Authority (“FCA”) is a regulatory body in the United Kingdom responsible for overseeing the conduct of financial services firms and financial markets to ensure they operate in […] [...]

CP24/6: FCA Consulting on Regulated Fees and Levies for 2024/25

The Financial Conduct Authority (“FCA”) published consultation paper (“CP”) CP24/6 on 9 April 2024 and has since expanded on its contents on 29 May 2024 with the addition of an […] [...]

Are You Treating Your Customers Fairly?

Creating a culture of fairness in customer treatment is not just a regulatory requirement; it’s a cornerstone of trust and integrity for firms in the financial services industry. Firms seeking […] [...]

FCA Authorisation: Key Insights from our Latest Authorisation Webinar

Our recent authorisations webinar shed light on the intricacies of the authorisation process with the FCA, including considerations around authorisations for new entities, Variation of Permissions (VoP) and Change in […] [...]

How Will The FCA Consumer Duty Rules Affect Firms Applying For Authorisation?

As we are all aware, the FCA’s Consumer Duty rules have now landed and are very much with us. It is not an overstatement to describe it as a ‘game […] [...]

FCA Authorisation Application Fees Update

As of 24 January 2022, a new structure for FCA Authorisation Application Fees has come into force. The new arrangements apply to all FCA fee-payers and to any business considering […] [...]

FCA Authorisation: Navigating the Path to Success

Applying for FCA Authorisation can be a daunting and complex undertaking with no guarantee of success; 1 in 5 firms which applied for authorisation during 2021 were refused, rejected, or […] [...]

Asset Management Authorisation Hub

Of relevance to: All new asset management firms applying for FCA authorisation The FCA have launched the Asset Management Authorisation Hub to support new asset management firms when they apply […] [...]

Tag: Authorisation

Case Update: ‘Finfluencers’ charged for promoting unauthorised investment scheme plead NOT guilty

Understanding the FCA’s Threshold Conditions

CP24/6: FCA Consulting on Regulated Fees and Levies for 2024/25

Are You Treating Your Customers Fairly?

FCA Authorisation: Key Insights from our Latest Authorisation Webinar

How Will The FCA Consumer Duty Rules Affect Firms Applying For Authorisation?

FCA Authorisation Application Fees Update

FCA Authorisation: Navigating the Path to Success

Asset Management Authorisation Hub

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In-Person Training Course: Your MLRO Training Day

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