FCA Authorisation Service Brochure
Getting authorised by the FCA is the hardest door your firm will ever open. This brochure shows you how we get firms through it.
The challenge The FCA now refuses or withdraws a significant proportion of applications — not because the firms were unfit, but because their applications were incomplete, their Regulatory Business Plans were weak, or their governance simply wasn’t ‘ready, willing and organised’. A rejected or stalled application costs months of runway and can put funding at risk.
What’s inside
✔ An overview of our end-to-end FCA authorisation service, from scoping to ‘authorised’
✔ How we build a Regulatory Business Plan the FCA case officer can say yes to
✔ The threshold conditions your firm must meet — and how we evidence them
✔ SMF preparation, governance mapping and the documents that make or break an application
✔ Realistic timelines, and how we keep applications moving through case-officer review
Who it’s for
New firms seeking Part 4A authorisation, and existing firms preparing an application through a consultancy that has done it many times before.
The benefit to you
You’ll understand exactly what a credible application looks like — and how partnering with us de-risks the single most consequential regulatory step your firm will take.
Key sources: FSMA 2000 s.55B and Schedule 6 (Threshold Conditions); the FCA’s authorisation application packs and the COND sourcebook.
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Compliance Consultant – Making Compliance Work
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