We offer the following services to businesses wishing to apply for FCA authorisation:
Applications for FCA Authorisation
We advise and assist businesses in the whole process of applying for FCA authorisation.
This includes advice and assistance in:
identifying the appropriate forms that need to be completed
completing the application forms
preparing Regulatory Business Plans
determining an applicant`s prudential category and capital requirement
preparing financial budgets/forecasts
dealing with questions raised by the FCA
Compliance Documentation
We prepare the following compliance documentation:
Compliance Procedures Manuals
Compliance Monitoring Programmes
Business Continuity Plans
Checklists of Compliance Files, Records and Documents
Checklists of Contents of Customer Agreements
Anti-Bribery Policies and Procedures Statements
Anti Money Laundering Training
We offer initial and refresher training to applicants’ personnel (including the Money Laundering Reporting Officer) on the law on money laundering, the Money Laundering Regulations and the FCA's money laundering prevention requirements.
Compliance Training Services
We provide applicants' personnel with tailored training in all aspects of FCA regulation and compliance.
Financial Controller Services
We provide the following Financial Controller Services to applicants:
Setting up accounting systems
Establishing and documenting accounting and financial controls and procedures
Arranging VAT registration
Setting up payrolls
For more information about any of the services listed above please
contact us.
We offer the following services to firms which have recently been authorised by the FCA:
Setting up Compliance Arrangements
We advise and assist newly authorised firms on setting up their compliance arrangements, including their compliance files and records, from the outset of being authorised.
Anti Money Laundering Training
We offer initial and refresher training to newly authorised firms' personnel (including the Money Laundering Reporting Officer) on the law on money laundering, the Money Laundering Regulations and the FCA’s money laundering prevention requirements
On-site Compliance
We provide newly authorised firms with the services of a consultant who visits their offices on a periodic basis to ensure that the whole range of their compliance obligations are met on an on-going basis, including undertaking the compliance monitoring in accordance with their Compliance Monitoring Programmes.
Compliance Training
We provide newly authorised firms' personnel with tailored training in all aspects of FCA regulation and compliance.
FCA Financial Returns
We advise and assist newly authorised firms in logging on to the FCA’s proprietary electronic financial reporting system called Gabriel. We prepare, or give advice in relation to the preparation of, the Data Item forms that authorised firms are required to submit to the FCA on a quarterly, six monthly and annual basis.
We submit the completed forms via Gabriel.
Financial Controller Services
We provide the following Financial Controller Services to newly authorised firms:
Setting up accounting systems
Establishing and documenting accounting and financial controls and procedures
Maintaining accounting records
Preparing monthly management accounts
Arranging VAT registration
Preparing quarterly VAT returns
Setting up payrolls
Maintaining and administering payrolls
For more information about any of the services listed above please
contact us.
We offer the following services to FCA-authorised firms:
Compliance Documentation
We prepare the following compliance documentation:
Compliance Procedures Manuals
Compliance Monitoring Programmes
Business Continuity Plans
Checklists of Compliance Files, Records and Documents
Checklists of Contents of Customer Agreements
Anti-Bribery Policies and Procedures Statements
We also review and update/upgrade authorised firms’ existing Compliance Procedures Manuals
and Compliance Monitoring Programmes.
Compliance Advice
We provide strategic and routine compliance advice and assistance to authorised firms across the whole range of FCA regulation, including in relation to:
the application of specific FCA requirements
the compliance implications of business plans or developments being considered by the Firm
proposed and actual FCA rule changes which are relevant to the Firm and its business, and on the action that needs to
be taken to ensure that the Firm complies with such new requirements
making an application for the variation of the Firm’s permitted business
seeking approval for a change in the Firm’s Controller(s)
Prudential Category and financial resources and financial return issues
the preparation of ICAAP Reports (BIPRU and IFPRU firms only)
Making passporting applications
Money Laundering Prevention
We provide the following range of money laundering prevention services:
Providing initial and refresher training to authorised firms' personnel (including their Money Laundering Reporting
Officers) on the law on money laundering, the Money Laundering Regulations and the FCA's money laundering
prevention requirements
Providing ad-hoc advice to authorised firms on meeting the FCA's money laundering prevention requirements
Undertaking reviews of authorised firms' money laundering prevention procedures and practices
Carrying out investigations for money laundering prevention purposes into the identity of authorised firms' prospective
clients and the source of their funds
Preparing the Money Laundering Reporting Officer’s annual report to the Firm’s directors/partners
On-site Compliance
We provide authorised firms with the services of a consultant who visits their offices on a periodic basis to ensure that the whole range of their compliance obligations are met on an on-going basis, including undertaking the compliance monitoring in accordance with their Compliance Monitoring Programmes.
Compliance Training
We provide authorised firms’ personnel with tailored training in all aspects of FCA regulation and compliance.
FCA Financial Returns
We advise and assist authorised firms in logging on to the FCA's proprietary electronic financial reporting system called Gabriel.
We prepare, or give advice in relation to the preparation of, the Data Item forms that authorised firms are required to submit to the FCA on a quarterly, six monthly and annual basis.
We submit the completed forms via Gabriel.
Financial Controller Services
We provide the following Financial Controller Services for authorised firms:-
Establishing and documenting accounting and financial controls and procedures
Maintaining accounting records
Preparing monthly management accounts
Preparing quarterly VAT returns
Maintaining and administering payrolls
For more information about any of the services listed above please
contact us.