The FCA Authorisation process can be time consuming and challenging.

Complyport has extensive experience in assisting a wide range of firms to obtain their FCA authorisation (Part 4A permission). Our team have a wealth of experience dealing with the regulator and their approach to authorisations which we will use to best advise and guide you throughout each stage of your application.

We offer a flexible approach to suit your needs, providing a fully project managed service to review and feedback on draft applications prior to submission.

We can also support firms with other regulatory applications such as variations of permissions, change in control and legal status. Please click here to find out how we can help.

Our fully project managed authorisation service includes:

Pre-Application consultancy

Our team will meet with you to understand exactly what it is you are looking to achieve, what activities are to be undertaken now and listen to your ideas for the future to ensure the correct regulatory permissions are to be applied for. At this stage we will flag any potentially contentious issues and offer solutions to ensure resolved prior to submission.

Construction of the FCA Application Pack

You will be allocated a dedicated team of authorisation specialists who will work with you to put together the application pack for submission. This includes assistance with the drafting or reviewing of your regulatory business plan, preparation of the relevant forms, provision of templates for and assistance with financial projections and key assumptions and a template Compliance Monitoring Programme appropriate to your business to submit to the FCA in support of your application.

Post Submission Queries

We will assist with providing answers to any post submission issues or queries that are raised by the FCA and advise on ‘best approach’ with them.

Provision of Appropriate Compliance Documentation

Once your application has been submitted to the FCA, Complyport will provide appropriate compliance documentation to ensure that you are ready to meet your regulatory and compliance obligations as soon as your authorisation is granted. This includes appropriate compliance manuals, tailored Compliance Monitoring Programme, registers and policies.

Many of the firms we help to get authorised go on to take up our ongoing support services to ensure they continue to meet their regulatory requirements, for more information please click here.