Investment Firms Authorisation - Getting the FCA Application Right

Introduction

The FCA’s approach to authorisation applications has been intensifying and the percentage of successful application has been decreasing.

This virtual classroom seminar will cover how to apply for FCA authorisation to conduct financial services activities in the UK, and how to apply for variation of permission if you wish to make changes to your existing authorisation.

The session will focus on the authorisation process and requirements relating to investment firms (such as asset managers).

What You Will Learn

This live and interactive session will cover the following:

• The overall application process, including timing and the key application documentation
• The key conditions that must be met prior to the submission of an application
• The current FCA approach to processing applications, including relevant case studies

For each point, the following two aspects will be covered:

• New authorisation applications
• Variation of existing permissions

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.