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Regulatory Compliance Factsheets
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Factsheet
The Difference Between FCA Authorisation and Being an AR
Find out whether full authorisation or becoming an AR is the right move for you
Find out more »
29 November 2021
Kumar Ved
Factsheet
5MLD Registration
Guidance for cryptoasset firms looking to comply with MLRs and get registered by the FCA.
Find out more »
22 April 2020
David Rodriguez
Factsheet
FCA Licence Options for e-money Firms
Guidance for firms looking to understand and apply for an e-Money license.
Find out more »
15 April 2020
James Borley
Factsheet
FCA Licence Options for Payment Service ...
Guidance for Payment Services Providers looking to understand licence types and fees.
Find out more »
15 April 2020
James Borley
Factsheet
Payments Compliance Factsheet
Payment Services Compliance Checklist to help firms understand and meet their FCA compliance obligat...
Find out more »
15 April 2020
James Borley
Factsheet
Corporate Finance - Do I Need Permission...
Find out what the requirements are when dealing with both professional and retail clients.
Find out more »
6 March 2020
Gary Paulus
Factsheet
Multilateral Trading Facilities
Understand the regulatory application requirements in place for MTFs seeking FCA Authorisation.
Find out more »
6 March 2020
Kumar Ved
Factsheet
FCA Licence Options for Fintechs
Guidance for fintechs thinking of applying for a UK financial services licence.
Find out more »
8 April 2019
Kumar Ved
Factsheet
Mind and Management
Guidance on two areas the FCA consider as part of their decision whether or not to authorise a firm.
Find out more »
25 September 2018
Ben Mason
Factsheet
FCA Licence Options for Investment Firms
Information to assist investment firms planning on applying for FCA Authorisation.
Find out more »
14 August 2018
Kumar Ved
Factsheet
Appointed Representatives Checklist
Our checklist summarises the key FCA expectations in relation to Appointed Representatives.
Find out more »
19 July 2018
Terry Norris
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