Assessment of Requirements
Resolution Compliance Limited will sit with
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,
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.
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