You may have a cracking business idea but if it involves financial services, until you convince the regulator that your plan is solid, you have assessed the risks and developed appropriate mitigations, and you have the right people onboard to drive your business you will not be given the (rightly) cherished status of authorised or registered.

We can help you navigate the complexities of the application process by compiling your application pack, guiding you through the intricate nuances of the obligations and helping you to respond to the case worker’s questions.

We have vast experience of helping firms first of all decide if authorisation or registration is right for them at this stage in their path and secondly, obtain authorisation or registration.

You can contact us by phone or email, or arrange for us to meet you in person.

Our team of compliance associates monitor our compliance inbox throughout the business day to ensure we provide you with a timely response from our senior consultants.

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If you have internal capacity to complete the application inhouse, we can provide you with a support and advice service where we will brief you on the application process and requirements at the outset, be on hand to answer queries as you draft the documentation, and review the pack to identify areas that could be strengthened.

However, if preferred, we can manage the process for you by liaising with the various internal stakeholders to draft the documentation and compile the pack for your review.

We can also assist with compiling and submitting:

  • variation of permission applications, where you require permission to undertake a new regulated activity;
  • change in control notifications, where a new person is taking a controlling interest in the business; and
  • applications for approval to appoint a new person to a role of significant influence, such as a controlled function or EMD or PSD individual.

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