FSA Applications

Our FSA application service covers all types of FSA firms, including Personal Investment firms, Professional firms, Investment Management firms, General Insurance intermediaries, Mortgage administration lending and intermediary firms, Corporate Finance Firms and Private Equity Firms.

We provide hands-on support and guidance as we project manage the whole process for our client. Our service concentrates on ensuring the application is as accurate and detailed as appropriate for the services to be provided.

Our service includes advising on such things as Controllers, Close Links, Approved Persons and Client Money as well as providing the client with the appropriate Compliance Procedures and a Compliance Monitoring Plan for their business.

For those clients intending to provide services outside the United Kingdom, it is likely they will need regulatory authorisation or clearance from the relevant regulator in the countries concerned. Under the European Union (EU) Single Market initiative, it is possible to obtain an EEA Passport (on a cross-border Service or a Branch basis) into any or all of the EEA countries. This avoids the need for individual regulatory clearance or authorisation in those countries for which Passports are granted. We will deal with these issues and advise appropriately.

We will not simply submit an FSA application and then forget it! Instead we will liaise closely with the FSA Authorisation team and monitor the progress of an application. In general, because we insist on getting applications “right first time”, our experience has been that our hands-on approach ensures applications are processed relatively smoothly. In the event that any FSA queries do arise on the application we are there to deal with them for our client. Click here to send us your details.