FCA Direct Authorisation & Regulatory Setup for Private Markets Firms

End-to-end FCA applications for private equity, venture capital and private markets businesses.

Led by a former asset management and regulatory consultant with experience supporting UK-authorised firms, AIFMs and Principal–AR structures.

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This service is designed for:

  1. Newly forming VC or PE managers seeking FCA authorisation

  2. Existing advisory firms transitioning to regulated activity

  3. Managers moving away from AR structures

  4. First-time fund managers needing regulatory support

FCA authorisation support includes:

  1. FCA application strategy and scope assessment

  2. Permissions mapping (advising, arranging, managing AIFs)

  3. Regulatory business plan drafting

  4. Financial projections and ICARA input (where applicable)

  5. Compliance policies and governance documentation

  6. FCA correspondence and information requests

  7. Pre- and post-authorisation readiness support

Our Process

  • 01

    Initial scoping call

    An introductory discussion to understand the proposed business model, activities and regulatory perimeter. This stage focuses on confirming whether FCA authorisation is appropriate, identifying potential issues early, and setting realistic expectations before any formal work begins.

  • 02

    Permissions, structure and regulatory strategy

    Assessment of the permissions required and the proposed legal and governance structure. This includes considering capital requirements, regulatory scope and whether alternative arrangements should be explored before proceeding.

  • 03

    FCA application documentation preparation

    Preparation and iteration of the core FCA application materials, including the regulatory business plan, compliance policies and supporting documentation. All materials are drafted to be internally consistent and suitable for FCA review.

  • 04

    Submission and FCA engagement support

    Support through submission and the FCA review process, including responses to information requests and follow-up questions, ensuring communications remain clear, accurate and aligned with the application.

  • 05

    Pre-authorisation readiness and implementation

    Guidance on preparing the firm to operate as an authorised business, including governance arrangements, internal processes and compliance set-up required to be in place on day one.

  • 06

    Post-authorisation support (optional)

    Optional support following authorisation, such as initial regulatory reporting, embedding policies into operations and managing early supervisory interactions.

If you are considering FCA authorisation and would like to discuss whether it is appropriate for your business, you can request an initial conversation below.

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