Regulatory Applications

To become authorised and regulated by the FCA, applicants must complete a formal application and ensure that it complies with the most up to date rules and regulations of the UK, and in certain cases, the EU. This can be a daunting and lengthy task, especially if you are not familiar with the process, laws and expectations of the regulator.

We have three service options available:

1. FULL FCA APPLICATION SERVICE

Pro Legal are industry specialists and can offer a “A to Z” service whereby our team project manage the entire process of dealing with the FCA.

If you would like us to assist you with completing your application we can visit you at your premises for a full day to work through the information required in order for us to complete the application on your behalf.  

Our works includes producing all Regulatory Business Plans, Business Continuity Risk Plan, Anti-Money Laundering Procedures, Staff Organisational Chart, Reporting SARs and dealing with the NCA, managing a PSD Agent/AR network, TCF,  Compliance Monitoring Programme and various business policies for your regulated business. Once produced, these documents will be sent to you for comment and review before submitting to the FCA.  We will then assist with any queries relating to the application from the FCA.


2. FCA PRE-SUBMISSION CHECK AND SEND

For confident/experienced clients who have decided to pursue their own FCA submission, we can alleviate any ultimate concerns you may have by simply offering a ‘Pre-submission’ check and review.

In most cases, we can correct any errors, offer further guidance or information to ensure that your submission has the best possible chance of being approved by the FCA. 

Having dealt with numerous previous applications to date, we can also share with you some ideas, tips and best practises used by other clients and ways to improve your application. 


3. FCA RESCUE SERVICE


This service is only for applications that have already been submitted to the FCA directly by a firm. Perhaps the case manager has offered to reject the application as it has been deemed as ‘incomplete’ or ‘not acceptable’ for the type of business you wish to do.

Our trained consultants will assist your firm and aim to repair and rescue your application – instead of receiving a rejection and a notice being issued.




CONTACT US NOW TO REGISTER YOUR INTEREST AND BOOK A FREE 30 MINUTE CONSULTATION

* Please note that the FCA have sole discretion on all applications and at no point are outcomes guaranteed.
 

Call to Action

We welcome you for a 30 minutes free consultation on FCA Authorisation and PSD2.

Contact Us

London Office
130 Old Street,
London EC1V 9BD, England

West Midlands Office
Suite 14
Malvern House, New Road
Solihull B91 3DL

info@plcgroup.co.uk

0044 (0)33 3335 0224