Complete, submission-ready FCA full authorisation documents for investment firms — every document the FCA requires, built by regulatory experts.
Three tiers to match your needs — from self-serve templates to fully tailored, submission-ready documents with ongoing regulatory support.
Complete FCA investment firm document set with guidance notes — built to meet the FCA's current expectations.
Fully tailored, submission-ready FCA application produced using your firm's specific details, services, and structure.
Done-For-You plus active FCA support — including information request responses, strategy calls, and guidance.
Every document required, built by regulatory experts and ready for submission.
Detailed, firm-specific business plan covering investment services, client base, competitive landscape, and compliance arrangements.
Internal Capital Adequacy and Risk Assessment covering capital requirements, risk identification, wind-down analysis, and stress testing.
Credible plan for orderly wind-down with client asset return, cost analysis, trigger events, and step-by-step process.
Investment sector AML/CTF policy, CDD and enhanced DD procedures, transaction monitoring, SAR process and MLRO framework.
Risk-based monitoring programme covering all regulatory obligations with testing schedules and reporting templates.
Conflicts of interest, best execution, complaints, record keeping, outsourcing, business continuity, and data protection policies.
Book a free consultation to discuss your requirements. We'll provide a fixed-price quote and get you moving within days.