Exponential Solutions | Specialists in Compliance & Financial Services Operations | London & Nationwide

FCA Authorisation

At Exponential Solutions our experience of managing a large number of FCA Authorisations suggests that a well thought through application leads to a much faster and generally hassle free conclusion.

We can advise you on whether or not your firm needs authorisation – this is not always as clear-cut as it seems and in some cases is not required. We can also provide Appointed Representative status whilst your application is being processed.

Should you decide upon proceeding with FCA authorisation, then it is a complex process which benefits from specialist knowledge. This is where our vast experience comes in.

Exponential Solutions can help you to ensure that particular questions the FCA expects answers to have been effectively addressed, as well as assisting in helping you with the questions that will arise throughout the process. By knowing who to talk to and what to say, we aim to ensure that your FCA authorisation process runs as smoothly as possible.

An application completed correctly can lead to authorisation quicker than you think.

For advice on FCA Authorisation please call us on 020 3701 8919 .

Direct Authorisation

Applying to become directly authorised by the FCA is a complex and time consuming process.

The application process can take considerable time and requires the production of specific and detailed business documentation. For example, one area where Exponential Solutions in particular can help is in working with you to develop your business plan and financial projections.

Using our experience and knowledge of the Direct Authorisation process we will work with you to complete the required documentation. By utilising our understanding of the authorisation process you will significantly improve the transparency and clarity of your application thereby helping to reduce the number of questions and ultimately to maximise the likelihood of a successful outcome. We are confident that using Exponential Solutions to assist your Direct Authorisation will save you a considerable amount of time and thereby money. Over the years, the team at Exponential has completed applications for many financial institutions including banks, building societies, investment managers, stock/derivative brokers, IFAs and general insurance brokers. At Exponential we can also provide appointed representative status through our regulated firm.

Appointed Representative Status (AR)

By becoming an Appointed Representative, a firm is able to carry on certain regulated activities, under a contract with a regulated entity which Exponential can provide, which then accepts responsibility for the regulated activities carried out by its Appointed Representative(s). This avoids the need for the firm concerned to obtain direct authorisation from the FCA.

We ensure the process of becoming an Appointed Representative is thorough but speedy; our experience having allowed us to develop a detailed and efficient process to allow us to act quickly to assess your firm’s suitability, including undertaking the necessary due diligence to make sure your key people are fit and proper.

Financial Services is a huge umbrella term, but here at Exponential Solutions, we have a wide range of permissions available to assist most potential applicants including financial advisers, insurance intermediaries, stock/derivative advisers, corporate finance and marketers of alternative investments.

Our other services

Feel free to call us for a no obligation assessment of the best approach for your business on 020 3701 8919