FCA authorisation services for financial advisers
We provide a comprehensive service to help your new business obtain the regulatory permissions it needs before it can start trading.
This includes:
- Advice on the permissions you need to apply for
- Assisting with the completion of your application
- Collating and checking the supporting information you provide
- Helping you to write the business plan which must accompany the application
- Deal with your case handler’s feedback and enquiries
- Assistance with sourcing competitive Professional Indemnity Insurance
- Helping to design your initial disclosure documents, terms of business and client agreements
- Putting in place the necessary compliance policies, including:
Social media | Data Protection |
Complaint handling | Financial crime |
Whistle blowing | Anti-Money Laundering |
- Putting in place a suitable Training & Competence scheme for you and your advisers
- Training your team, including members of your support staff, on important issues such as spotting complaints, as well as potential instances of money laundering or financial crime


On-going compliance services for financial advisers & mortgage brokers
We provide a range of compliance services for financial advisers and mortgage brokers to select from. Including, but not limited to: