Thu 26 Jul 2018
09:30 - 12:00
This workshop is designed for senior management and compliance staff who are weighing up whether and when to seek direct authorisation from the FCA. We will explore the choices available, including the costs, risks and benefits of being independently authorised so that you gain real insight into which options is right for your firm. This will cover permissions, capital requirements, new areas of flexibility and the likely regulatory burden for your chosen business model. You can expect to come away armed with knowledge about the implications of your preferred choice and a clear plan of action should you choose to take your business through authorisation.
- What is an AR? How does this work? What activities can I undertake? (think about managing investments, fund management/advice in particular)
- What are the pros and cons of each?
- What issues should you be considering for your business?
- How to find the right AR?
- Making the move to direct authorisation - What are the main risks and issues to think through?
- What is the application process and transition?
BWB's new offices at 10 Queen Street Place, EC4R 1BECancellation policy for seminars