Applying for FCA Authorisation - A Practical Guide

Introduction

This new full day course is designed for individuals working in organisations who are about to or are currently seeking authorisation with the Financial Conduct Authority (FCA).

The FCA scrutinises applications to a greater degree than ever before, paying particular attention to a firm's regulatory business plan, business model and governance arrangements. This seminar is hosted by Robert Bell, a compliance consultant with over 10 years of experience navigating applications to the FCA, dealing with their questions and supporting senior managers with their individual applications. Robert draws on all of this experience to help give you the best chance of success.

We will help you understand the process involved and the best way to develop your application, looking in detail at the contents of the regulatory business plan.

The session is applicable to those interested in the application process to the FCA. It applies to companies operating out of the UK.

What You Will Learn

This live and interactive course will cover the following:

• The application process - end to end
• Key rules in the FCA Handbook (PRIN, PRIN 2A, SYSC, DISP, SUP)
• Forming your Regulatory Business Plan
• Expected Governance Arrangements
• The Consumer Duty - how to include in your application
• Compliance Monitoring Plans
• Dealing with the regulators follow-up questions
• Senior Managers & Certification Regime (‘SM&CR’): Senior Manager Applications
• Practical steps to form your application