Our Services
New Authorisations
Applying for new authorisation or changing your existing permissions
New Authorisation
Packages from £1,000
Full cradle to grave support package in which we take you from preparing your application, through to the FCA determination, includes drafting all the necessary documents and coaching on how to operate as a regulated business. We have a 100% success rate from over 1,000 applications to date.
Amending Your Permissions
From £250
Once you are authorised it may be necessary to amend or vary your permissions. We offer the same cradle to grave service for variations as we do new authorisations, including redrafting and updating your policies and business plan documents.
New Senior Management
from £150
If you have a new Senior Manager joining the business, or have promoted from within, we can undertake the preparation and submission of the application to the FCA, including all due diligence and fit and proper testing, and training on Conduct Rules and SM&CR.
Ad-Hoc or Individual Services
We also offer ad-hoc and individual services on request, tailored to your individual needs.
Ad-Hoc Support
from £100 per hour
We offer a simple 'pay as you go' ad-hoc support package in which you pay for the time used.
We bill in 15 minute time slices and keep timesheets of all billable activity. This is ideal if you need a little help every now and then.
Annual Audit
from £3000 per occasion
We offer a robust and deep dive audit and healthcheck, which we recommend on an annual basis.
This will include a site visit and generally lasts for around 3-5 days, after which you receive a detailed report of some 30-50 pages.
Along with the report is a comprehensive 'get well' action plan not only listing the areas of shortfall but also giving detailed instructions on how to remedy.
Of course we are also on hand to support with any of the get well actions if you wish, but this is entirely your
Customer Outcome Testing
£ on request
We have partnered with a leading provider of customer outreach platforms, to create a bespoke customer outcome testing programme.
Questionnaires are sent to every customer with tailored and targeted questions designed to test the outcome of the customer journey. Results are delivered electronically via a live, real time dashboard allowing you to see which customers, sales staff, ARs, brokers or introducers are presenting a risk to you and your business, and your customers.
Appointed Representatives
Services for those wishing to become ARs or Principals, and existing.
AR Application
from £75 per AR
If you are a Principal firm and are looking to appoint ARs, we can offer a full cradle to grave service including:
- All due diligence
- Referencing
- Financial probity checks
- Completion of both AR and CF1(ar) forms
- Submission via the FCA Connect portal
- Track and chase through to approval
- Draft and provide AR contract
AR Principal
Pricing depending on package
If you are looking to become an AR Principal, we can provide a full package of support including:
- Business assessment for suitability for ARs
- Update to your Regulatory Business Plan
- Update all your policies
- AR / Principal operations handbook
- AR framework document
- Notification to the FCA (for more than 5 ARs)
- AR due diligence
- AR vetting and on-boarding
- Ongoing AR monitoring and customer outcome testing
Become an AR of Us
from £200 per month
If you want to offer FCA regulated credit / hire broking services and do not want to be directly authorised you can become an AR of our sister company, meaning:
- No need to be directly FCA authorised
- Exempt from SMCR and RegData
- We take responsibility for your compliance
- All complaints investigated and managed by us
- All advertising approved by us
- All vetting and due diligence conducted by us
- Ongoing monitoring and outcome testing
- Best in class compliance support
- All for one monthly payment
All quoted prices are exclusive of VAT at the prevailing rates. E&OE, bespoke packages are available. Quoted fees DO NOT include any fees payable to the FCA or other regulator. The quoted fees are for our services.