Whether you intend to have FCA compliance support after you are authorised or not, our help during the authorisation process may be invaluable.

We can also provide guidance and support during the application process even if you have already started the process with FCA and have been asked to seek professional advice with regards documentation.

Section 19:

Breach of section 19 is a criminal offence hence obtaining the correct advice at the start of the process is essential. We would establish whether your firm's proposed business requires you to apply for authorisation i.e. it is a regulated activity and then provide you with a detailed analysis of what it will involve.

Under Section 19 of the Financial Services and Markets Act, any person who carries on a "regulated activity" in the UK must be authorised by the FCA, the PRA or be exempt.

We are flexible:

Our prices are very flexible and could be tailored to suit whatever service(s) you require. Whether you need the whole application process done; from preparing documents to responding to the queries from FCA regarding the application, or you only need advice or guidance at a specific point in the application process, we will provide a suitable price to meet your needs.

Regulated activities include:

  • Intermediaries
  • Selling investments and/or
  • Home finance activities and/or
  • General insurance

If you require our services or any help with your application, we are happy to visit you and have an initial/introductory meeting after which, we will agree on a fee to suit your budget.

Are you looking for MLR & FCA compliance support?