General FSA Application Pack
NOTES to the Application Pack 1 Contact details and timings for this application Contact for this application 1.1 Contact details of the person we will get in touch with about this application. This...
View ArticleHow do I get authorised?
How do I get authorised? In general, to get authorised you will need to: •prepare and collect various supporting documents; •build your application pack via our online system; •fill in the forms in the...
View ArticleBusiness Plans
Business Plans to gain Regulation A firm should plan its business appropriately so that it is able to identify, measure and manage the likely risks of regulatory concern it will face (Business strategy...
View ArticleFinancial Resources for IFAs
Financial Resources for IFAs Client money 3.1 Does the applicant firm intend to hold client money? The rules and guidance about how applicant firms hold client money are designed to provide an adequate...
View ArticleScope of Permission required
Scope of Permission required When applying for authorisation it is your responsibility to make sure that the regulated activities you request adequately cover the activities the applicant firm intends...
View ArticleInvestment Advice
Application for Authorisation Supplement Contents of these notes: 1 Regulatory business plan 2 Scope of Permission required 3 Financial resources 4 Personnel 5 Compliance arrangements 6 Fees and levies...
View Article
