Regulatory Applications

We keep track of changes in the world of regulatory applications so you don’t have to.

Receive expert regulatory application support

We help your firm obtain regulatory approval effortlessly. Our experts navigate the regulatory authorisation or registration process with UK and overseas regulators to ensure success every time.

Our approach to regulatory consulting is entirely flexible. We can fully project-manage the process or provide specific inputs and documents based on your precise requirements.

Secure regulatory approval with some or all of the following services:

Support with key milestones and timelines
Technical input and advice on the FCA authorisation requirements relevant to your operations
Assistance drafting your Regulatory Business Plan
Preparation of supporting documentation and policies
Approved Persons support and guidance with SM&CR requirements
Submitting and tracking the application
Helping candidates prepare for regulator interviews or challenge sessions
Assistance with variations of permission
Support with change in control applications

Gain confidence and clarity. Take the next step...

How Xcina Consulting can help your business

Regulatory Applications

We focus on building a long-term partnership with clients and supporting you throughout your compliance journey, starting with the application process. We take the time to get to know your business, team, structure and plans, and remain available throughout the application process as well as post-authorisation.

You’ll be assigned a dedicated point of contact at Xcina. Benefit from our regulatory application expertise and the knowledge we’ve gained from assisting many organisations in your sector. The team includes former Senior Managers, Heads of Compliance and Regulators.

We’ll share all our deliverables and transfer our knowledge so that your team is equipped to use and maintain the compliance framework independently.

Our pricing is competitive, transparent and modular, giving you flexible access to subject matter expertise and advice.

Get predictable outcomes with regulatory application consulting

Our experienced regulatory consultants work seamlessly with your internal team.

We help asset managers, banks, payment firms and fintech firms become authorised. We can also support a variation of permissions, allowing you to bring new services to the market.
We help cryptoasset firms achieve registration in the UK and/or authorisation in another jurisdiction.
We take the burden off clients with our fully project-managed service, allowing you to allocate internal resources more efficiently.
We improve the effectiveness of your regulatory application process. Reduce uncertainty, avoid producing multiple iterations and minimise pushback from the regulator.
We prepare your application pack, including the relevant forms and supporting documentation.
We share our knowledge. You’ll receive a handover meeting upon authorisation and practical advice on how to operate as a regulated firm.

We prepare your compliance manual, supporting policies and compliance monitoring plan to support your compliance activities post-authorisation.

Your guide to regulatory applications

A group of regulatory consultants at Xcina Consulting discuss regulatory applications around a table in a modern office.

Firms and individuals must be authorised by the Financial Conduct Authority (FCA) to carry out regulated financial services activities. Doing so without proper authorisation is a criminal offence.

The type of application you need to complete depends on your firm’s business model. We help you determine what permissions you need to seek based on your intended activities – there is an almost unlimited number of combinations. Other regulators may also be involved during the regulatory application process.

There are many lengthy application forms, and you need to provide supporting documents. The specialist language used on the forms can be confusing as it is specific to regulatory compliance and requires in-depth knowledge of the regulator’s relevant handbooks. Once the regulator has received a firm’s application, its case officer will go through an iterative process to decide whether the authorisation should proceed.

Without the relevant experience or professional advice, obtaining regulatory approval from regulators can be extremely time-consuming and complex. We will guide and support you through the entire process.

What our clients say

The work we undertook with Xcina around IT controls, setting policies and standards was a big piece of work that involved people within Perenna and people in Xcina. The outcome there has put us in a really strong place. Xcina supported us on a very significant piece of work for our banking application – the IT Controls Form. This is where we really achieved a big deliverable in a very efficient manner and very short space of time. The collaboration between both sides got us to a good place, and we submitted all these documents to the regulators to plan.

Colin Bell, COO & Co-Founder at Perenna

Discover how we have supported organisations like yours >>

Case Studies

Read how our risk management consulting, auditing and assurance services are helping organisations like yours meet their objectives with increased confidence.

Regulatory compliance for UK-based mortgage firm

Helping to redefine the future of mortgage lending.

Pension Protection Levy Calculation and Reporting Process Review for Global Asset Manager

CASS Compliance Monitoring for large UK Asset Manager

If you’d like to know more about any of our services or have a question, then please let us know.

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Regulatory Applications

Receive expert regulatory application support

Gain confidence and clarity. Take the next step...

How Xcina Consulting can help your business

Get predictable outcomes with regulatory application consulting

Your guide to regulatory applications

What our clients say

Case Studies

News and Insights

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