Your passport to UK Financial Regulation
Whether you are a UK-based firm seeking Financial Conduct Authority (FCA) authorisation or an overseas company entering the UK market and in need of FCA regulation. Our experienced boutique of specialists will help you gain approval efficiently and confidently.
Key Areas of the Process to Regulation
-
Strategic assessment
-
Documentation Preparation
-
Support with FCA liaison
-
Pre-Submission review
-
Post Submission Support
Allowing you to focus on your core business
Navigate Compliance will co-ordinate the entire process
Strategic Assessment
-
We work with you to assess your business and identify what permissions you may require for your specific activities
Documentation we will prepare
-
We prepare and review all FCA application documents, ensuring they meet FCA expectations, including:
-
a newly drafted regulatory business plans,
-
compliance manuals or review of your current ones and expand where needed,
-
risk frameworks,
-
Submitting your application
Navigate Compliance will stay with you for the entire journey.
Pre Submission Review
-
All of the drafted documentation is extensively reviewed internally and then with the client to ensure that all required information is captured
Questions
-
Navigate Compliance will assist you with any questions that the FCA may have, we will help draft responses and ensure you are fully supported in this part of the process.
Post-Authorisation Support
-
Once authorised, we can continue to support you with implementation, ongoing compliance monitoring, and training.
Our offering is bespoke so the choice is yours
