From £750

Obtaining FCA authorisation for the first time can be a daunting experience, with ever tightening criteria the amount of information the FCA ask for seems endless. A number of supporting documents such as compliance monitoring program, manuals, training and competency plans all have to be in place before approval is granted.

If you are looking to obtain authorisation for mortgages and/or non-investment insurance then we can help. We have a 100% success rate with FCA applications

 

We can provide advice on your options, explain the costs of both obtaining authorisation and remaining authorised. We can discuss the supporting material you will be asked for so you're fully aware of what is expected of you.

We have helped many brokers obtain authorisation and for a small fee we can help you apply for authorisation giving you the support and guidance to put a complete application together. You will be required to have in place a number of documents including those listed below, all of which we can provide templates for.

    • Compliance Manual
    • Compliance monitoring plan
    • Disaster recovery plan
    • Training and Competency plan
    • Profit & loss and cash flow projections

 

Download for free our more in-depth guide on what is needed and the costs in obtaining direct authorisation here

 

Already Authorised

You may already have authorisation and require our help and support for other changes, we can also help with:

    • Variations of Permission
    • Changes in Legal Status
    • GABRIEL guidance and assistance
    • Taking on an appointed representative
    • Starting a network
    • Changes to standing data

 

Start Up

If you have recently gained authorisation and need help setting up everything, document templates or support to get you up and running please get in touch. We can provide a full suite of documents such as back office logs and registers, T&C, TCF and customer documents such as Fact find and suitability letter. We can then help you install a system to follow so you can be confident your business is set up compliantly and you have to tools to continue trading compliantly.

 

Please contact us for a no obligation quotation and more information.

 

Sitemap

H3 Consultancy Ltd © 2008 - 2018