FCA Authorisations

XCAP Global compliance and consulting services help you launch your financial services firm under the rules of the UK Financial Conduct Authority.  We can assist the following financial services firms for their FCA authorisation;

  • Investment Managers (Small Scope)
  • Investment Managers (Full Scope)
  • Corporate Finance Adviser
  • Consumer Credit Licence
  • Other FCA regulated financial services business

Direct FCA Applications (FCA, CFTC, SFC, SEC, FINRA)

As an independent global consulting firm specialising in financial services firms, we work with clients in submitting FCA authorisations for start ups or for Appointed Representatives seeking to be directly authorised.   

As a bespoke consulting firm, we manage the entire process, offering a full 'door to door' service, which includes services ranging from company set up/registered office, regulatory business plans to regulatory infrastructure, policies and procedures and financial modelling/capital adequacy.    Our services also include all dialogue with the regulator and case officer in question which ensures we manage the entire process whilst the case officer(s) may have queries regarding your regulated activities. 

Areas of specialism include; 

  • Investment Management
  • MIFID II
  • AIFMD activities
  • Collective Investment Schemes
  • FinTech / Sandbox Testing
  • Marketing & Distribution
  • Retail Investment Services
  • Fund Structuring (onshore & offshore)

Variation of Permissions (VoPs)

XCAP Global actively work with existing directly authorised financial services firms who may be considering to broaden their FCA permissions and/or explore a new avenue which required a Variation of Permission (VoP).   Typically, VoPs can take up to 6 months to be processed and granted by the FCA, assuming the firm in question has all relevant resources and technical ability to operate the additional permissions.   Incomplete or partially completed applications pose a significant compliance and reputation risk, which often cause severe delays of the launch of new regulated businesses.  

 

Contact Us and see how we can help you.

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