Finance Sector Authorisations

Whether you are a prospective Bank or an IFA we have the experience and skill sets available to ensure your application for regulatory approval is as straightforward, professional and as time and cost efficient as possible.

With very recent in-house experience of working within the FSA Authorisations department, we are well positioned to assist our clients in the obtaining of what is known as Part IV Permission from the regulators for the undertaking of regulated activities. We are able to offer a complete application service where we assemble the entire application package including a full suite of policies and procedures documentation and manage the authorisation process from start to finish for which our charges start at £1,900 excluding VAT where applicable.

With a depth of financial services and regulatory experience available we are well placed to assist you. Our clients range from small start-up managers to major global Fund Managers. Whether you are seeking to obtain Part IV A permission for your new business or need support in such as ICAAP preparation our range of services and experience are available to meet your needs.

What We Help With

Our authorisations experience covers the entire range of regulated entities, from Investment Advisers to Insurance Companies, CIS Schemes through to major Fund Managers, Short Term Mortgage Providers, Consumer Credit firms through to Retail deposit-taking Banks – the full range of straightforward to complex applications.

Our direct recent working experience within the FSA authorisation department means that we have an intimate understanding of the information that the regulator requires to ensure a smooth application process, both in terms of depth and quality of information sought.

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