Insurance & Mortgage Broker Authorisations

Getting authorised can be a costly and time-consuming process. The FCA wait times for applications to be allocated to case officers for retail intermediary applications is in the region of three to four months.

Appointed Representative – Support

Financial Compliance is authorised by the FCA for insurance broking activities as well as credit broking.

We can assist firms active in the above areas by providing them with appointed representative status.

  • If you are an existing AR of another network and are looking for an alternative principal we can assist. Working as an AR provides you with regulatory controls, limiting your business risk and allowing you to focus on building your rewards. We work with you to keep you up to date with changes and guide you through FCA regulation.

  • Are you looking to start trading quickly or do not have enough experience to get directly authorised? We can assist by providing an ‘umbrella’ service which allows you to operate whilst we assist you in obtaining direct authorisation.

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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