New applications
Gaining approval, or authorisation, from the FCA to conduct a regulated activity is a challenge of a unique nature. Don’t worry, our expert team are here to guide you on your journey towards FCA authorisation.
Variation of permissions
You my want or need to apply for a Variation of Permissions for a variety of reasons;
- start a new line of business
- start a new regulated activity
- add a new product or client type to your business line
- you just bought a an authorised business and are looking to transform it
Change in Control
A change in control has to do with a change in ownership of the business, business owners are referred to as controllers, and they can be individuals or body corporate. The regulated business will need to undergo a change in control process if’
- there is a new shareholder that holds equity or voting rights above the threshold.
- you are selling or buying a regulated business
Approved Person
We can also help you prepare for the submission of new appointments, cancellation of appointments of approved persons.
Cancellation of authorisation
This is a process very often overlooked, but one that requires very careful consideration and attention to detail, we have vast experience helping firms bring their regulated activities to an end in the safest way possible.
Compliance monitoring program
The importance of a well designed and executed compliance monitoring program cannot be overstated, this program and accompanying policies will make a significant difference in minimising attention from the regulator due to blunders in the business, but if you do need to give a response your monitoring program will be critical.