FCA Authorisation

ACA Compliance (Europe) is the market-leading service provider for firms seeking to secure their regulatory licences - Part 4A Permission and/or AIFMD, as required by the UK regulator the Financial Conduct Authority (FCA).

 

 

 

 

 

 

Hedge Fund Managers

WHO WE WORK WITH

 

 

 

 

 

 

 

Investment Advisers

 

 

 

Corporate Finance Teams

 

 

Capital Introduction Boutiques

 

 

Venture Capital Firms

 

 

Institutional Brokerages

 

 

Private Equity & Real Estate Fund Managers

OUR TEAM

 

Our FCA regulatory authorisation team has managed over 600 FSA/FCA licence applications in the last 12 years, with 100% authorisation success. We have achieved our track record through a combination of technical and process knowledge, persistence, and conscientiousness.

Our specialised ‘Permissions’ team includes former members of the FCA's Authorisation and Permissions Department, bringing exceptional insight into the application process. Our team guides clients through the process and assists with overcoming issues that might otherwise present a barrier to obtaining a licence.

OUR SERVICE

 

The success that our team members have achieved for our clients stems from our FCA authorisation expertise and results-driven focus. Our service includes:

  • Frequent meetings during the pre-submission stage to identify issues before preparing the application pack;
  • Assistance in presenting the application pack to the FCA; and
  • Management of the process through to successful receipt of your licence.

Beyond Authorisation, Developing Your Compliance Programme

 

Once the authorisation process is complete, the ACA team is available to assist you with the development of the various manuals, controls, documents, procedures, and monitoring programmes necessary to meet the FCA’s expectations. Many of our clients retain us on an ongoing basis to address the typical range of regulatory and compliance issues that a new firm will need to consider. Click here to learn more about our ongoing compliance support.

REQUEST MORE INFORMATION

 

To request more information, complete our contact form or call Andrew Welch at + 44 (0) 207 042 0500