FCA Authorisation

We manage the entire FCA application process, allowing you to stay focused on the things that you do best.

Expert support for FCA applications

Authorisation made simple

Getting FCA authorised doesn’t need to be overwhelming. Whether you’re applying for your first licence or managing a change in control, The Compliance Guys guide you through the process with clarity and confidence, minimising delays and helping you achieve a smooth, successful outcome.

Experts across sectors and application types

We work with businesses across sectors, from finance providers to home improvement firms, helping them secure the right FCA permissions with expert, hands-on support.

Our team handles a wide range of applications, including Full and Limited Permissions, Variations of Permissions (VoPs), Change in Control Applications, and New Firm Registrations.

End-to-end support, every step of the way

From document preparation to ongoing communication with the FCA, we’re by your side throughout the entire process. Our team takes care of the details, responds to FCA feedback, and ensures your application is submitted with confidence and care.

Personalised, professional guidance

At The Compliance Guys, we don’t just give you templates and walk away. We collaborate with you to get every detail right, offering input and support as you prepare key documents like your business plan and financial forecast. If the FCA requests further information or invites you to an interview, we’ll help you prepare and support you throughout.

The process

1. Information Gathering

We begin by identifying how your business activities are regulated and what permissions you need. This involves a scheduled call to discuss your business model, governance, risk management, compliance framework, and key personnel. We’ll collect all the necessary information to build a tailored information pack, setting the foundation for a smooth application process.

2. Application Creation

Using the insights gathered, we’ll prepare a bespoke application pack. This includes drafting essential documents such as your Regulatory Business Plan, Compliance Monitoring Programme, and relevant policies. The FCA expects your application to accurately reflect your business, we’ll help ensure everything is robust and aligned, addressing any potential issues before submission. Once complete, the pack will be sent to you for final review.

3. Application Submission

We manage the entire submission process via the FCA’s Connect system. After submission, the FCA will acknowledge receipt and assign a Case Officer. Should any queries arise, we’ll support you with clear, professional responses. Your dedicated Consultant will also be available for further clarification or meetings, if required.

4. Approval

Before granting authorisation, the FCA may ask you to meet certain conditions or attend an interview. We’ll guide you through meeting these requirements and help you prepare thoroughly. Once authorised, you’ll need to comply with FCA rules and commitments outlined in your application. We can continue to support you post-authorisation to ensure your ongoing compliance.

What's included?

Tailored Compliance Strategy

We begin by understanding your business model, services, and goals to ensure every aspect of the application reflects your specific regulatory needs.

Regulatory Business Plan

We draft a fully bespoke Regulatory Business Plan that meets FCA standards and aligns with your operational approach.

Financial Forecast Review

Our team reviews your financial projections to ensure they are realistic, accurate, and suitable for FCA approval.

SM&CR Compliance

We confirm that your firm meets the FCA’s Senior Managers and Certification Regime (SM&CR) requirements.

Essential Compliance Policies

We provide all core compliance policies required as part of the FCA authorisation process.

Consumer Duty Procedures

We help implement the necessary frameworks and documentation to demonstrate your commitment to Consumer Duty.

Compliance Monitoring Plan

We create a detailed Compliance Monitoring Plan to ensure continued oversight and regulatory alignment.

FCA Connect Submission Management

We handle the entire application process via FCA Connect, ensuring accuracy, timeliness, and minimal disruption to your operations.

We can help you achieve full FCA compliance quickly, thoroughly, and with total peace of mind.

Get in touch, it's free to chat...

Give us a call on 01792 926 040 or fill out the form and one of the team will be in touch.

Alternatively, feel free to connect with us on LinkedIn.