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Frequently asked questions

you may want to know

– Do I need to be authorised by the FCA?

If you wish to conduct regulated activities in the UK, you will need to be FCA Authorisation. A brief and free discussion with one of our specialist firms will quickly establish whether you will need to be or not.

– What is the process and how long will it take?

The activities, client type and instruments will need to be established and then the appropriate documentation will need to be submitted to the FCA. Getting the pack together usually takes around a month and then the FCA can take up to six months to revert with queries before final approval is given. Fees to the FCA vary on the permission profile required.

– The FCA have asked my firm to do a full review on a specific area of my business, how would I get this done?

Depending on the area, we can introduce you to a specialist expert in their field to conduct the review.

– I am registered but I’m having trouble keeping up with the compliance requirements, what would you suggest?

Firms offer various degrees of support starting at very reasonable prices. Financial data submission on GABRIEL, for example, can be completely taken care of. Compliance services can be varied to suit your requirements, flexible, cost effective, offerings are always available.

– My firm is increasing staff and I am having concerns regarding HR.

HR support can be offered at varying degrees of requirement, Compliance Consultants London put you in touch with an expert firm who will use their automated processes to ensure you meet and exceed all the regulatory requirements.

– I need training in specialist areas for my staff.

We can put you in touch with a firm that has a great many training schemes available but who would bespoke produce any training specifically for your requirements.

Do you still have a question? Get in touch