24th October 2018

FCA Authorisation

If you are an adviser looking to set up your own advisory firm, the decision whether to join a network or operate directly with the FCA is a major part of your business plan. This equally applies to advisers who are already members of a network and are reviewing whether they should remain with their existing network provider, change networks or apply to be directly authorised with the FCA.

Regardless of the position you are in, it is imperative that time is spent researching so that you make the correct decision for you and your firm, due to the costs and time spent implementing up the correct procedures for whichever route you take.

Therefore, we have written a document to help adviser make the right choice for them. This document aims to: –

  • Provide you with the questions you need to ask yourself to help come to the correct decision.
  • Outline the process you will need to follow if you decide to be directly authorised by the regulator.
  • Confirm how CATS can help you both applying for the FCA approval and ongoing compliance support and the relevant charges involved. Depending on the level of service you require, CATS can provide you with all the relevant compliance documents you will need, enabling you to write business as soon as you are authorised.

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