Going FCA Direct?

Want to go FCA Direct?

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 setting up the correct procedures for whichever route you take.

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.

 

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Contact Details

Compliance and Training Solutions Ltd
40 Broomfield House
Lanswood Business Park
Elmstead Market
Colchester
Essex
CO7 7FD
Phone: 01206 230804
Email: info at complianceandtraining.co.uk