Watch the recording as Kenneth Underhill talks about the process of making authorisation applications to the PRA & FCA.

Making Authorisation Applications to the PRA & FCA

Date: 11th May 2021
Host: Kenneth Underhill

Brexit has led to many firms in the TPR now needing direct authorisation in the UK. Another consequence of Brexit is that the FCA will have to regulate solo-regulated firms which are not based in the UK for the first time. In it’s document “Our Approach to International Firms”, the FCA provides guidance for firms on what is required, providing the perfect reason to look again at what is required by the UK regulators for authorisation.

Kenneth Underhill looks at what is required to obtain direct authorisation in the UK for dual and solo regulated firms, offering delegates a clear understanding of:

  • The background and purpose of authorisation;
  • The application process;
  • The requirements for obtaining authorisation;
  • Some helpful hints.

Speaker

Kenneth Underhill

Director
Implement Compliance Solutions & Resources

Advisory | Resourcing | Training