FSA authorisation and ongoing obligations
Our range of services includes:
- advising on the authorisation process;
- advising on MiFID issues;
- project managing the application process, where required;
- liaison with the FSA;
- assistance with requisite documents, forms and submissions (including regulatory business plan);
- advising on approved person applications;
- advising on scope of permissions;
- advising on regulatory capital categorisation;
- preparing compliance and procedures manuals and ancillary policies/procedures; and
- advising on ongoing regulatory obligations.
