FSA Authorisation

Applications for authorisation by the Financial Services Authority are a time consuming and complicated process. In the current climate, a failure to satisfy one of the myriad of different requirements can lead to delays or even an outright rejection of your application.

TRS understand the difficulties involved. We understand how daunting the process is for the non-legal professional. That’s why our clients choose TRS to undertake the work for them.

We can project manage the whole application process:

• Completion of the core details and FSA compliance section of the application
• Assistance with producing a comprehensive regulatory business plan
• Liaison with the firm’s accountants to complete the financial resources and systems section
• Being the main contact point for the application with the FSA and organising and attending any pre-authorisation inspections or meetings with the FSA, as required.

Alternatively, we can complete the Compliance Section only through:

• Completion of the FSA compliance section of the application
• Provision of a tailored compliance manual
• Provision of a tailored compliance monitoring program
• Provision of all other client documentation

 

Our dedicated application team comprises experienced compliance professionals and barristers with vast industry experience. Each application is managed by two consultants in conjunction with a senior barrister. Our process minimizes the input required from the applicant, freeing up valuable resources to ensure the rest of the business is given the attention it deserves.

Be certain of success. Let the experts take the strain.