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Compliance FAQs

How can we help you with your FCA wholesale firm authorisation?

We can assist your firm throughout the entire FCA authorisation process.

We initially propose a meeting with new clients to scope out the type of FCA authorisation they are seeking to apply for. After this, we can assist with drafting the first suite of application forms and supporting documents and provide you with guidance as to how to complete your business plan.

Once the documents are finalised, we will make the submission to the FCA and deal with any questions the FCA case officer may have. Once your firm has obtained FCA regulated status, we can assist with ongoing compliance support (view Ongoing Compliance FAQs below)

Still need help? Get in touch