Assessment of Requirements
Resolution Compliance Limited will sit with you and decipher what your firm’s regulatory and compliance needs encompass. This will include what permissions you require in accordance with the Regulated Activities Order giving consideration to your current business structure, as well as future growth needs.
We will complete the necessary and regulatory due diligence on the firm and key individuals as per the requirements set out under the FCA’s Threshold Conditions (COND). This will include a review of the firm’s business plan, financials, financial promotions and marketing material. All individuals will be subject to the successful completion of in-house regulatory training modules and assessments.
During the process, the firm is assessed first and subject to FCA approval, listed on the FCA Register. Next, follow the Approved Persons who hold significant influence functions as assessed by Resolution Compliance Limited.
On-Going Oversight & Support
As an AR you will be provided with regulatory support from your dedicated Compliance & Supervision Manager along with their support staff. This will include regulatory supervision onsite visits, audits and regular reporting via Attestations to ensure that you remain compliant with FCA regulations.
Get in touch to learn more about our services.
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