Start-Up Services
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Whether you are a start-up looking to become directly authorised or looking to set up business in the UK, FCA authorisation can be a difficult process to navigate.
Our team of senior, dedicated compliance professionals will advise you on the whole of the application process to ensure successful delivery. We work with firms to establish a compliance framework and maintain a compliance monitoring programme that is tailored and proportionate to your needs.
Our compliance services for start-ups
- Our start-up services include:
- FCA authorisation
- Governance, Risk and Compliance (GRC)
- Compliance infrastructure
- Financial crime framework
- Risk management framework
- Training
- Ongoing compliance support
- Cyber security and data protection.
Sectors we work with
The sectors that we frequently work with include:
- Investment management
- Asset management
- Wealth management
- Corporate finance
- Retail banking
- Trading and broking
- Payments and e-money
- Annex i financial institutions.
FCA authorisation
We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a clear plan, guiding and working with you throughout every stage of the FCA application lifecycle.
Governance, Risk and Compliance (GRC) infrastructure
Our team has decades of experience in developing bespoke and proportionate GRC frameworks for our clients, this includes advising on corporate governance, systems and controls and assisting you with the preparation of practical and effective regulatory compliance documentation.
Compliance infrastructure
We work with you to build and maintain your compliance framework including offering advice on corporate governance, systems and controls and assisting you with the preparation of practical and effective regulatory compliance documentation, including your compliance manual, policies and procedures and an ongoing compliance monitoring programme.
Financial crime framework
Supervisory authorities can impose severe penalties on businesses, senior management and individuals that fail to implement proportionate controls to the risks the business face. These penalties apply even if no money laundering has taken place, thereby ensuring that this is an area that every organisation must treat with the utmost importance.
Risk management framework
Every organisation must be aware of its risks, irrespective of its size and it is the senior management that has responsibility for the identification and management of risk. We work with senior management to ensure that it has the resources to manage risk.
Training
Firms going through the authorisation process need to understand the regulatory environment in which they are being established, as well as demonstrating competency to the regulator.
Compliance Support for Newly Authorised Firms
Newly-authorised firms must focus on many issues, including ensuring that their business succeeds. Our London-based team of compliance experts can provide your firm with the peace of mind that your compliance obligations are under control.