Authorisation & regulatory change support

Practical support across the regulatory lifecycle — new firm authorisation, changes of permission, launches, control changes and regulatory change projects. The firm helps prepare and steward applications and readiness; it does not, and cannot, guarantee any FCA outcome.

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Areas of support

What support can include

Scope is agreed with each firm; the items below are illustrative rather than a fixed package.

New firm FCA authorisation application support and Part 4A permission profiles
Permission profiles for investment firms, AIFMs, MiFID firms, advisers and brokers
Variations of Permission (VOP) — adding or removing activities, client types or instruments
Change in control applications and notifications support
Senior Management Function application support and Fit & Proper preparation
Appointed Representative and principal-firm arrangements and oversight
New firm, fund and product launch readiness, including pre-launch framework design
Regulatory business plans, financial crime frameworks and supporting documentation
Pre-application readiness reviews and gap analysis
Regulatory change projects and implementation planning
Wind-down planning and orderly cancellation of permissions

How it works

A clear, structured process

Scope & feasibility

Confirm the permissions, structure and regulatory perimeter the firm needs, and assess readiness against FCA expectations.

Prepare the submission

Develop the regulatory business plan, policies, financial crime framework and application materials to a considered, submission-ready standard.

Support FCA interaction

Help prepare responses to FCA questions and information requests as the application progresses. The FCA determines the outcome; the firm supports the process.

Embed the outcome

Stand up the control environment, governance and reporting so the firm operates within its permissions, or implement the regulatory change, once confirmed.

Scope & regulatory boundaries

Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.

Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.