End-to-end support through the FCA and MiCA CASP authorisation process, from initial perimeter analysis and regulatory business plan drafting through to application submission and ongoing regulatory dialogue. Every application is built from scratch to the FCA's assessment criteria, not adapted from a template.
Before any application work begins, we map your business model against the regulatory perimeter, confirming which activities are regulated, which permission set applies, and what the optimal application strategy is for your timeline and structure.
The single most common cause of FCA application rejection is a regulatory business plan that does not meet the FCA's assessment criteria. We write the RBP from scratch, structured to what the FCA actually looks for, governance, financial projections, risk framework, compliance obligations map, Consumer Duty evidence.
All FCA-authorised firms require designated Senior Managers. We identify the applicable SMF functions, prepare Form A applications for each proposed holder, and draft granular Statements of Responsibilities, the FCA returns generic SoRs as insufficient.
A complete regulatory policy suite built for the specific permission set, not a generic library. Covers the compliance monitoring programme, complaints handling, conflicts, operational resilience, outsourcing, and financial crime, each written against the applicable FCA sourcebook.
For MiCA CASP applications, we advise on white paper structure against the mandatory Article 5/19/51 content requirements, review the liability provisions and right of withdrawal, and prepare the organisational and prudential documentation required by the NCA.
The FCA requires every authorised firm to demonstrate orderly wind-down capability, and for digital asset businesses, this is operationally complex. We design the wind-down plan, model the minimum capital requirement, and map the mechanism for returning client cryptoassets.
We assess your business model, activities, and proposed structure against the regulatory perimeter. Output: written perimeter analysis and recommended permission set.
We map your governance structure, identify SMF holders, and design the board and management framework required to support the application.
We draft the regulatory business plan, SMCR documents, policy suite, and financial model. Each document is built specifically for your firm, not from a template library.
We manage the submission and all FCA or NCA correspondence, including responses to information requests, requisitions, and gateway meetings.