If you would like to become directly regulated by the FCA we can assist you every step of the way to ensure that you do not encounter any down time as a business.
Our process is very simple and the options are shown below:
1. Already a member of EvolveU
As long as you possess the required level of experience and competency required we will refer you to our specialist compliance partner Ecompli who will take care of your application from start to finish.
As applications can take up to six months we would ensure that you remain a member of EvolveU until your application is approved. Once it is approved we would agree a departure date, but don’t worry we won’t just leave you in the regulatory dark we will provide you with the best tactics to ensure that you have a robust compliance support function in place.
2. Already a member of a Network
If you are already an Appointed Representative (AR) with another Network then the same applies as above e.g. we will refer you to our specialist compliance partner Ecompli who will take care of your application from start to finish.
Again once you get your approval we will provide you with the best compliance solution going forwards so that you’re not left on your own.
3. Not with a Network
If you are not currently with a Network but you have sufficient industry experience then again we can help with your application. If however you have no experience or if you have been outside of the industry for a period of longer than twelve months then we would encourage you to become a member of EvolveU so that you can build up the necessary levels of competency before applying for direct authorisation.
We would always encourage firms to have a minimum 12 months industry experience before submitting an application to the FCA. Often cases vary depending on the individual circumstances of each firm so it’s always best to contact us first to discuss so that we can provide you with the best route going forwards.
By completing the Registration Form below you are giving us your consent to contact you about going directly regulated. Please refer to our Privacy Notice by clicking on the link at the bottom of the page. Alternatively you can contact us directly on 01254 675 676.