Project Managed

The typical Complyport approach is to project-manage each and every stage of the client’s application for FSA Authorisation (Part IV Permission); from initial advice, completion of the application forms and preparation of requisite supporting material, through the FSA vetting and investigative stage to the admissions committee and, with anticipation, FSA authorisation.

During this period, Complyport will advise the client on resources, the business plan, key-man qualifications and potential barriers to entry. Ron Weekes heads up the team managing each FSA application project and as point of contact, he will communicate with the FSA Case Officer(s) regarding both the Corporate Applicant and the underlying individuals. At all stages, he will advise you upon the most appropriate course of action.

Senior Complyport consultants will make themselves available to attend any FSA site visit(s), up to and including the ‘close-out meeting’ – this is especially important to ensure the client is given the appropriate FSA licence. Throughout the process, Complyport will liaise with other third-parties, such as prime brokers, auditors, legal advisors etc. to ensure all aspects of the project are coming together.

A relatively straightforward application, such as a routine hedge fund manager or institutional broker will take the FSA approximately 8-12 weeks; a more complex application may take the FSA longer.

Please feel free to contact us to arrange a meeting at our Mayfair offices for an informative and in-depth introduction to the FSA application process. You would incur no fee, nor would you be under any obligation.

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