To begin, we will assess which of your business activities are subject to regulation and what implications this has for your operations. We will schedule a meeting to discuss your business model, internal controls regarding governance, risk, and compliance, as well as the key individuals at your firm. Once we have a clear understanding of your regulatory requirements, we can determine the specific permissions needed for your business.

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Next, we will guide you through the process of gathering all the necessary information to create your application pack. We will work with you to ensure we have all the details the FCA requires. Once we have received all the required information, we will create policies and procedures, your Regulatory Business Plan, Compliance Monitoring Programme, and any other relevant documentation required. We are familiar with the FCA's requirements and will work with you to ensure that we provide comprehensive and accurate responses to any questions raised by the FCA during the application process.

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Once the application pack is complete, we will send it to you for a final review. We will then submit your application online via the FCA's Connect system and take care of paying your application fees.

After submitting the application, the FCA will acknowledge receipt and appoint a Case Officer. We will be available to assist you in answering any questions or concerns raised by the FCA during the review process. In the event that further discussions are required, your consultant will be available to help.

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Before authorisation, the FCA may need to request that you complete certain conditions. We will guide you through the process of satisfying these requirements. Once all conditions are met, the FCA will typically authorise your business within 24 hours.

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After authorisation, your business will be subject to FCA rules and commitments made within the application. We will arrange a handover meeting to provide you with your compliance manual and framework and walk you through what you need to do to comply with the FCA's regulations.

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