FCA authorisation guide for asset and wealth managers

If you are setting up or growing an asset or wealth management business, this guide is an essential resource. Whether you are launching a new fund, expanding your investment services, or managing complex structures such as collective investment schemes or discretionary portfolios, this guide provides clear direction on what it takes to become an FCA-authorised firm. 

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FCA authorisation guide for asset and wealth managers

This guide is essential reading for any firm seeking authorisation from the Financial Conduct Authority to provide asset or wealth management services. The authorisation process demands detailed evidence that your firm can meet regulatory expectations, not only at the application stage but also on an ongoing basis. Before committing significant time and resources, it is important to understand the requirements and assess whether authorisation is the right step for your business. Use this checklist to guide your preparation, and speak with your fscom advisor if you need further support.

Our guide will explore:
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An explanation of the FCA’s authorisation process for asset and wealth managers 
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Guidance on identifying whether your business plan involves regulated activities and potential exclusions
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Insights into how your operating locations and client base affect your authorisation requirements
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The key preparations you need before applying, including governance, costs, and wind-down planning
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Step-by-step detail on how to compile, submit, and manage your FCA application
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Practical advice on maintaining compliance after authorisation through effective systems and controls
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Typical timelines for applications and how to keep your process on track
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At fscom - we are Compliance Maturity Specialists.

We help financial services firms measure, master and maximise their compliance framework. We benchmark where they are today against both the regulatory requirements and their industry peers and most importantly, where they want to go next and how to get there.

 
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