Having the correct authorisation is your license-to-operate. Without it, you are acting ‘outside the perimeter’ which, in the worst case scenario can lead to imprisonment. In our experience, the FCA has little patience for firms who don’t make sufficient effort to understand what permissions they need.

We help you understand how your business model will fit into the regulatory regime and ensure you don’t overburden the business with permissions that aren’t required.  You need to demonstrate to the regulator that you have a good understanding of your regulatory responsibilities and that your senior management team are well-equipped to manage the business competently.

How can we help?
TCC provides a bespoke service to meet your needs. This could include completing the entire pack for the relevant permissions required or providing support and guidance at various points along the way.

Completing the FCA’s standard forms is the ‘easy’ part – the real challenge is understanding the FCA’s expectations around effective systems and controls and compliance procedures. At TCC, we assist our clients in developing and improving the required supporting documentation so it is sure to meet the FCA’s standards.

We also provide coaching, education sessions and refresher training for your senior management team or staff.