Regulatory Authorisation

services

Regulatory authorisation

The objective of our regulatory authorisation service is to provide you with relevant information on the authorisation process including which regulated activities to undertake and obtain your authorisation within the shortest possible timeframe.

We adopt a project-based approach and our consultants manage the application professionally. We provide you with progress reports at all relevant stages of the process.

Our regulatory authorisation service includes the following:

  • Building your authorisation application pack and assisting you to complete the forms
  • Advice on authorisation requirements including regulatory capital
  • Developing the policies and procedures that will assist your firm in meeting its regulatory responsibilities
  • Governance arrangements
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  • Example of a recent regulatory authorisation engagement: Our client, the UK subsidiary of a major Middle East commercial and investment bank needed to implement the Alternative Investment Managers Directive (AIFMD) and obtain the UK’s Financial Conduct Authority’s (FCA) authorisation for a new subsidiary as part of its compliance with the AIFMD by June 22 2014. Failure to implement the AIFMD and obtain FCA authorisation by that date would result in the rm ceasing to manage its hedge fund business.  The client engaged us to assist in obtaining the required FCA authorisation and we provided the following services to the client:
  • Developed a project plan
  • Liaised with the professional advisers to ensure the incorporation of the subsidiary company in the UK
  • Produced the required policies and procedures e.g. Remuneration Policies and Procedures, Compliance Manual
  • Completed the FCA Part IV application forms
  • Provided guidance on required regulatory capital, appointment of depositaries and regulatory reporting arrangement
  • Liaised with external advisers
  • Responding to all queries raised by the FCA
  • As a result of our proactive attitude and project approach, we were able to obtain the subsidiary’s FCA authorisation by June 22 2014.

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