FCA- related services

Financial Conduct Authority (FCA) Regulatory services


Our Financial regulatory services include:

  • Advice initially before applications for authorisation are made.


  • Handling applications for authorisations (such as the Part IV Permission).


  • Providing compliance support


  • Performing reviews and engaging in special projects.




Examples of areas where we can advise include:

  • Whether under the Financial Services & Markets Act 2000 (FSMA 2000) a particular activity constitutes a regulated activity.


  • Whether a communication or advertisement constitutes a financial promotion.


  • Options for regulation and whether advantage can be taken of exemptions.


  • Obtaining approvals for financial promotions.


  • The approved persons regime and obtaining approval.


  • The duties and responsibilities of approved persons.


  • Training and competence requirements.


  • Design and implementation of systems and controls.


  • Capital adequacy requirements for different types of regulated businesses.


  • Client money requirements and compliance procedures.


  • Requirements for sponsors bringing companies to market.


  • Advice regarding CRD and MiFID legislation.


Types of clients and financial activities that can benefit from our services


Professional firms including:

  • Trustee or operator of a collective investment scheme (such as an investment fund)
  • An ISD investment firm.
  • A market maker.
  • An investment manager.
  • An investment adviser.
  • Broker fund adviser.
  • Manager or trustee of unit trusts and investment trusts.


This includes firms that are active in the following areas:

  • Establishing, operating or winding up collective investment schemes
  • Safeguarding and administering investments
  • Advising on or arranging deals in investments or packaged products
  • Managing investments for private customers
  • Performing regulated activities as a member of an exchange
  • Acting as market maker in securities or derivatives.
  • Engaging in corporate finance activities.
  • Dealing or arranging deals in securities or derivatives.
  • Provision of clearing services as a clearing firm
  • Spread betting.

For further details of these services please call us.