Let us take the stress and hassle out of becoming Directly Authorised. We have successfully managed scores of application throughout the years and therefore, we have an excellent understanding of what is required to ensure your application runs smoothly.
We have two different service levels; one where we hold your hand and review all the documents as part of your submission, providing you with feedback on wording and ensure all areas have been answered in the FCA forms. The other service is a comprehensive service whereby we draft all the relevant paperwork including all the compliance supporting documents such as a compliance manual, T&C Scheme, registers and client proposition. Lastly, we make the aplication to the FCA on your behalf.
We have a very detailed document that gives you all the pros and cons of becoming directly authorised as well as FAQ, including our fees for assisting in the FCA application thereafter.
So, if you are an adviser looking to set up your own advisory firm, the decision whether to join a newtowrok or operate directly with the FCA is going to be a major part of your bsuiness plan. This equally applies to advisers who are already memebers of a network and are reviewing whether they should remain with their existing network provider, change networks, or apply to become 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 tuime spent implementing the correct procedures, for whichever route you take.
The doument we have produced 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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