Compliance Wizard Limited SC218735. Registered Office 22 Stafford Street, Edinburgh EH3 7BD, UK.

Phone 07710 444 670

    ©2020 COMPLIANCEWIZARD

    FCA Authorisation Guide

    If you’re thinking of applying for FCA authorisation, this guide should give you a good idea of what’s involved. It doesn’t contain legal, regulatory or accounting advice. If that’s what you need, please speak to the appropriate specialist. But if you need someone to help you get authorised, you’ve come to the right place.

     

    Contents

     

    PLANNING FOR AUTHORISATION

    Considerations

    • Where do we start?
    • How should we tackle the process?
    • What should we be thinking about during the planning phase?

    Money Matters

    • What costs will we face?
    • What are the capital requirements?

    People and Premises

    • Is there a minimum number of staff we need to have at authorisation?
    • Will I have to sit exams?
    • Do I need premises before submitting the FCA application?

    The Application Process

    • What does a typical application pack consist of?
    • What compliance documents will we need?
    • What happens when we’ve submitted our application?
    • What questions might we face?
    • How long will the application take?

     

    COMPLETING THE APPLICATION

    1. The MiFID authorisation form

    2. The FCA MiFID annex

    3. The list of members of the management body

    4. The MiFID (IT) assessment form…

    5. The relevant fees and levies supplement and checklist

    6. Additional supplements (if required)

    7. Controllers forms

    8. Approved persons forms

    9. Disclosure of Significant events appendix

     

    HOW WE CAN HELP

    • File Licence

      Once purchased, you can use/alter/amend for your own investment firm on a perpetual licence basis. Not maintained.

    £30.00Price