The FCA skills, knowledge and expertise is referenced under the compliance arrangements and procedures section of the authorisation application. It is also relevant to the FCAs training and competence requirements and the Senior Managers and Certification Regime (SMCR). Those applying for FCA authorisation will need to confirm that they have measures and controls in place […]

This short article provides example FCA regulatory business plan criteria and headings. If you are going through an FCA authorisation application, you will need to submit your completed regulatory business plan during the application submission. The plan’s aim is to provide the regulator with information about the regulated activities you intend to carry on, evidence […]