FCA Authorisations

FCA authorisation

Launch your business under the rules of the FCA. Lawson Conner can help you with direct FCA authorisation as well as Variation of Permission (VoP) applications:

Direct FCA Applications (FCA, FINRA, SEC, CFTC, SFC)

Should you want to become directly authorised by the FCA we will manage the entire registration process for you. We provide the regulatory infrastructure which includes the FCA application, all necessary policies and procedures, compliance software as well as the regulatory business plan and financial model.

fca authorisationAs part of your FCA authorisation, we also deal with all responses to the regulator and provide advice on readiness of the business (control, governance, supervision, business model, risk and capital adequacy). Our expertise includes among others: investment management, MIFID/ AIFMD activities, marketing & distribution. We will support your business on an ongoing basis, providing outsourced compliance services which includes any changes required to respond to regulatory change.

Receive a quote within 30 seconds for our FCA Application services by clicking here: http://fcaapplication.lawsonconner.com/

We are able to cover the US with FINRA, SEC and CFTC registrations, Hong Kong with SFC and Singapore with MAS licence applications.

Variation of Permissions (VoPs)

Should you want to change the scope of your business or add a regulated activity, you must apply for a Variation of Permission (VoP). Any failing to report
change or extension of activities is considered a breach of the FCA rules and may result in enforcement action by the FCA.

A typical direct application process for a VoP can take between 6-8 months. Incomplete applications or registrations can also pose a significant compliance risk, which often cause severe delays of the launch of new regulated businesses.

Our dedicated team of experts focuses on high quality and efficient turnaround of documents. Lawson Conner offers a comprehensive and well prepared application which can significantly speed up the approval process.

All services are provided on Lawson Conner’s inhouse launch platform which helps expedite processes and ensures that applications are complete.

 

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Growth

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Awards

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