Practical Resources

Practical FCA Compliance
Guides

Step-by-step implementation guides to read online and keep as a PDF. Written by ex-FCA regulators.

Practical guides

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Appointed representative or direct FCA authorisation?

Compare control, oversight, speed and commercial dependence, and see the point at which an appointed representative structure becomes the wrong fit.

NewFCA authorisation · PDF

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FCA authorisation: what documents will you actually need?

A practical evidence checklist for founders: what should exist before you apply, which documents must agree with each other, and what changes with your permission type.

NewFCA authorisation · PDF

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What does "ready, willing and organised" mean to the FCA?

Turn a familiar FCA phrase into an evidence test for your board, management, product, systems and submission pack, before you pay the fee.

NewFCA authorisation · PDF

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Writing an FCA business plan that passes

What the FCA expects, the 13 areas to cover, projections that reconcile, and the mistakes that slow applications down.

NewFCA authorisation · PDF

Looking for templates? See Downloads. Looking for what a rule means? See Explainers.