FCA & PRA Applications for authorisation, Variation and Cessation
Preparation and drafting of the following documentation, covering regulated activities, payment services and E-money and cryptoasset platforms,
Applications for Permission (including to accept deposits, for securities and futures firms, for investment management firms, and for personal investment firms.)
Application for Variation of Permission.
Application to cease carrying on regulated activity, including preparation of associated SUP 6.4.9G Reports, and Wind-Down Plans.
Applications for Registration (e.g., small Payment Institutions, and Cryptoasset platforms.)
SMF Applications including Management responsibilities Maps.
Regulatory Business Plan, supporting the applications listed above.
Certification Employee Certificates.
Compliance Manuals.
Associated Policies, Procedures, and Processes including:
o Conflicts of Interest,
o Share Dealing,
o Vulnerable Customers
o AML/CFT
o Corporate Governance,
o Financial Promotions
o Product Governance
o Operational Resilience, Business Continuity & Disaster Recovery
o Resolution Planning
o Outsourcing
o SYSC 25.9 Handover Procedures
o Remuneration
o Whistleblowing
o Anti-Slavery & Human Trafficking
o Social Media
o Fraud
o Anti-Bribery and Corruption
Terms of Business and Client Agreements.