The FCA Register

What is the FCA Register

What is it?

As an institution with financial services activities, you are likely to require authorisation by the FCA.

If you are authorised details of your regulated activities are available on the Financial Services Register (the Register). Listed on the Register are the activities that your firm has succeeded in obtaining permissions for or varying its permissions. The register also provides details on individuals and other bodies that are or have been, regulated by the FCA.

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Key Takeaways

• the Register lists all the firms and current or previously approved individuals involved with regulated activities
• It shows whether a firm is regulated by the PRA and/or the FCA.
• It provides consumers with expectations of protections when doing business with a regulated firm

Directory of certified and assessed persons

You can now also find a directory of certified and assessed persons on the Financial Services Register. This will allow consumers, professionals or anybody to confirm the details of key individuals working in financial services.

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Remember that certified and assessed persons consist of:

• all certified staff (those holding a certification function under the Senior Managers and Certification Regime- SM&CR)
• directors who are not performing Senior Manager Functions (SMFs) – both executive and non-executive
• other individuals who are sole traders or ARs (including those within ARs) where they are undertaking business with clients and require a qualification to do so

The information shown on certified and assessed person information includes:

• name and any previous names
• roles with start and end dates
• activities undertaken

About MEMA

If you are looking to become authorised by the FCA , reach out to us via our contact page.