How to get authorised by the Financial Conduct Authority

  • Date: 17 February 2021
  • Format: Recorded Webinar

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On 17th February 2021, Compliancy Services held a free webinar for EEA firms and funds that are registered under the FCA's Temporary Permissions Regime (TPR). The webinar was hosted by James Borley, ex-regulator and previous Authorisations Manager for the FCA who was joined by two guest speakers:

  • Val Smith, Head of Banking, Payments & Insurance Department, Authorisations Division at the FCA;
  • Richard Frase, Partner at Dechert LLP.

Ahead of this webinar, the FCA published their Approach Document for international firms setting out how they will assess international firms providing, or seeking to provide, financial services that require authorisation in the UK.

Understandably, EEA firms are likely to have many questions about the FCA authorisations process. This webinar helped by explaining the process they need to follow; key questions they need to consider; what the FCA look for; some of the common errors that delay applications; and offered a chance for them to question the FCA and other regulatory compliance specialists.  

Speakers

James Borley - Client Director, Compliancy Services. An ex-regulator and previous Authorisations Manager with over 22 years experience at the FCA.

Val Smith - The FCA's current Head of Banking, Payments & Insurance Department, Authorisations Division.

Richard Frase - Partner at Dechert LLP, advisor on all aspects of financial services law and previous head of litigation at the Personal Investment Authority (later the Financial Services Authority and now the Financial Conduct Authority).

What was covered

  • The FCA applications process
  • Key considerations
  • Preparing the application pack
  • Common challenges
  • Post authorisation expectations

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