Making Changes and Amendments with the FCA

Our Technical Helpdesk team are also experienced in assisting firms with periodic FCA changes and amendments. This service is available to firms that utilise our ongoing compliance and consultancy support services, and includes support with amending regulated activity permissions, notifying the FCA of changes in control, appointing or removing Senior Managers and, where applicable, applying for a firm’s deauthorisation.

Our Consultants can also help you to prepare the required information in order to make or change your firm’s FCA Directory details. Ongoing, we can then support your firm in ensuring your Directory information remains accurate and up to date.

As with our Direct Authorisation support, we offer firms comprehensive and bespoke support through this process. Our team of experts will work closely with you to understand your requirements and tailor this service to you (after all, no two firms are the same), this includes assistance and guidance with:

  • Using FCA Connect, the Regulator’s online system and the FCA Directory
  • Assisting with the completion of the relevant FCA forms
  • Sense checking and fine tuning your responses
  • Assisting with any required amendments to your firm’s associated regulatory and Management Information documentation, e.g. disclosure documents, Regulatory Business plan, Training & Competence plans and more
  • Dealing with any FCA queries as the application progresses
  • Post-authorisation/variation support from your Consultant and the Technical Helpdesk team
Making Changes and Amendments with the FCA