To become authorised by the Financial Conduct Authority (FCA) you must complete an application.  This isn’t as simple as it sounds.  The FCA Application is complex and consists of numerous documents that you need to complete and produce.  As such, this can be a very time consuming process but we are at hand if you need us.  We have assisted a large number of Mortgage Brokers, General Insurance Brokers, Equity Release and Insurance Loss Assessors (Claim Handling) companies complete the application and get authorised.  Of course, once you are authorised we can then help with your ongoing compliance, if required.

Please Note:

The FCA can take up to 6 months to review your application and if it isn’t complete or you have failed to provide them with something they can take up to 12 months.  Therefore, you should ensure that the application is fully completed before it is submitted.

If you are part way through completing your application and find that you need assistance please contact us for a quote.

Full FCA Application Support

If you would like us to assist you with completing your FCA application we can either visit you at your premises or liaise with you via telephone and email to work through the information we require in order for us to complete the FCA application on your behalf.  This will include producing all the supporting documents to accompany the application including a Regulatory Business Plan, Business Continuity and Disaster Recovery Plan, Anti-Money Laundering Procedures, Staff Organisational Chart and Compliance Monitoring Programme etc

Once produced this will be sent to you for comment and your records before submitting to the FCA.  We will then assist with any queries relating to the application from the FCA and be there every step of the way.

If you would like to discuss your FCA Application requirements we would be happy to answer any questions you have. Please contact Stephen Gibson on 01254 675674 or by emailing stephen.gibson@ecompli.co.uk for further information.