Our approach in providing you with quality solutions
Our Process
Free Consultation
We offer a complimentary 30-minute consultation to help you understand the initial steps and requirements for FCA authorisation.
Understanding Your Business
We begin by thoroughly assessing your business model, operations, and regulatory needs. Whether you require Full or Limited Permission for consumer credit, we provide expert advice on your specific requirements.
Detailed Business Analysis
In-Depth Interview
We conduct a comprehensive interview to gather detailed information about your business, including key personnel, financial resources, and operational structure.
Customised Solutions
Based on our analysis, we develop customised compliance solutions that align with your business goals and regulatory requirements.
Regulatory Business Plan Development
FCA Regulatory Business Plan (RBP)
We prepare a detailed RBP covering all aspects of your business, from background and key personnel to financial statements and compliance policies.
Policy Development
As part of our comprehensive compliance solution, we will also help you develop key policies that are required for the FCA to see you have in place for your business prior to granting you authorisation.
Compliance Monitoring Programme (CMP)
We draft a robust CMP to demonstrate how your business will monitor and mitigate key risks effectively.
Application Preparation and Submission
Comprehensive Documentation
We ensure that all necessary documents, including the RBP, CMP, and supplementary forms like the SMCR Approved Person form and Statement of Responsibilities, are meticulously prepared.
FCA Connect Application
We complete and submit your application through the FCA’s Connect system, ensuring all regulatory standards are met to enhance your chances of approval.
Ongoing Support and Follow-Up
Continuous Assistance
We have both the belief and the passion for excellent customer service. That's why after submitting your application, we don't just part ways immediately, but provide ongoing support to address any queries from the FCA during the review process.
Efficient Processing
Our expertise helps expedite the authorisation process, aiming to secure FCA approval typically within one month, depending on application complexity.
Benefits of Our Approach
By virtue of the nature and structure of our firm, we can offer you an approach that no other consultancy firm can. This includes:
- Expert Guidance: Leverage the insights of former FCA officers who understand the intricacies of the authorisation process.
- Tailored Solutions: Customised consulting services designed to meet the specific needs of your business.
- Efficiency and Transparency: Our streamlined processes and transparent communication ensure a smooth application experience.
Enhance your business’s compliance standards and drive growth with the unparalleled expertise of Alumni Compliance Solutions. Our collaborative and results-driven approach ensures that your FCA authorisation journey is seamless and efficient. Contact us today to start your FCA authorisation journey and ensure your business’s success in the UK financial market.