FCA authorisation - Complyport UK Consultancy Service

Less Red Tape, More Growth: How the FCA Plans to Simplify the Regulatory Landscape Following Consumer Duty

The FCA’s recent feedback statement (FS25/2) outlines an ambitious plan to simplify regulatory requirements following the introduction of the Consumer Duty. The statement highlights immediate actions and longer-term proposals aimed […] [...]

Aligning MiFID Services with Part 4A Permissions

The UK’s financial regulatory framework is complicated, with several directives and permissions in place to ensure the integrity of the financial markets. Two important components of this framework are the […] [...]

Navigating the Claims Management Landscape: A Guide to FCA Regulation and Authorisation

In today’s complex financial environment, Claims Management Companies (“CMCs”) play a vital role in assisting consumers with claims related to financial services. From mis-sold financial products to payment protection insurance […] [...]

The SMF3 Role in FCA-Regulated Entities

In the ever-evolving landscape of financial regulation, the United Kingdom’s Financial Conduct Authority (“FCA”) plays a pivotal role in maintaining the integrity of financial markets and protecting consumers. One of […] [...]

Cryptoasset AML/CTF regime: Meeting the FCA’s expectations to register as a Cryptoasset Service Provider (“CASP”)

The popularity of Cryptoasset Service Providers (“CASPs”) has surged in recent years, driven by a combination of technological advancements, growing interest in cryptocurrencies and increased adoption by both retail and […] [...]

Securing Your AIFM Authorisation: A Strategic Guide for Success

In today’s ever-changing financial industry, becoming an authorised Alternative Investment Fund Manager (“AIFM”) is a significant achievement that can open new opportunities and is crucial for both operational success and […] [...]

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 […] [...]

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 […] [...]

The Regulatory Gateway for Financial Promotions is Here

The Financial Services and Markets Act 2023 (FSMA 2023) introduces a new regulatory mechanism, the Regulatory Gateway, for the endorsement of financial promotions by unauthorised firms. FSMA 2023 modifies section […] [...]

Open to Feedback: FCA Seeks Input on New Consumer Credit Data Reporting

Open to Feedback The FCA published Consultation Paper CP23/21: Consumer Credit- Product Sales Data Reporting on 27th of September 2023. Through this FCA is currently seeking feedback on its proposal […] [...]

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 […] [...]

Funeral Plan Provider Application Refused By The FCA

Two days before the FCA begins its regulation of UK funeral plan providers the regulator has announced its refusal of One Life Funeral Planning Ltd’s application for authorisation. One Life […] [...]

FCA Authorisation for Funeral Plans Providers: What It Means To Be Regulated By The FCA

From the end of July 2022, it will be a criminal offence for funeral plan providers to sell funeral plans unless they are authorised by the FCA. Up until the […] [...]

FREE WEBINAR – Key changes to the FCA authorisation process – A practical guide for firms planning to submit an FCA authorisation application in 2022

The FCA’s authorisation process is already a rigorous and complicated undertaking for any new firm looking to join the UK financial services market. This process has been exasperated by external […] [...]

Tag: FCA authorisation

Less Red Tape, More Growth: How the FCA Plans to Simplify the Regulatory Landscape Following Consumer Duty

Aligning MiFID Services with Part 4A Permissions

Navigating the Claims Management Landscape: A Guide to FCA Regulation and Authorisation

The SMF3 Role in FCA-Regulated Entities

Cryptoasset AML/CTF regime: Meeting the FCA’s expectations to register as a Cryptoasset Service Provider (“CASP”)

Securing Your AIFM Authorisation: A Strategic Guide for Success

Understanding the FCA’s Threshold Conditions

Are You Treating Your Customers Fairly?

The Regulatory Gateway for Financial Promotions is Here

Open to Feedback: FCA Seeks Input on New Consumer Credit Data Reporting

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

Funeral Plan Provider Application Refused By The FCA

FCA Authorisation for Funeral Plans Providers: What It Means To Be Regulated By The FCA

FREE WEBINAR – Key changes to the FCA authorisation process – A practical guide for firms planning to submit an FCA authorisation application in 2022

Firms in the Temporary Permissions Regime – FCA makes its expectations on the TPR clear

FCA Authorisation Application Fees Update

FCA Authorisation: Navigating the Path to Success

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