Our experts have been undertaking FCA applications since 2003, so we fully understand the big picture and can help you meet the FCA’s expectations in demonstrating that your firm is present in the UK and able to meet the Threshold Conditions.
We can save you time and money by managing your application, variation of permission or change of control.
Authorisation
Our FCA applications team boasts industry-leading expertise, with members who have previously served as regulators and consultants. With a collective experience in managing and processing over 500 FCA applications, our commitment is centred on minimising the workload for our clients.
Prior to initiating the application process, we work together with our clients to gather essential information, tailoring a comprehensive application pack to meet their specific needs.
Our applications team takes care to complete the following on our client’s behalf:
- Assessing and reviewing proposed regulated activities;
- Drafting the regulatory business plan;
- Support in recognising and fulfilling all required FCA forms and accompanying documentation;
- Providing guidance on Senior Manager applications and SMCR requirements;
- Assisting with the preparation of financial forecasts (and where needed reviewing of ICARA and wind-down plan);
- Providing key compliance documents required for the application submission; and
- Assisting in the application submission on the FCA’s Connect system
Rest assured, we will handle your application with meticulous attention to detail, ensuring its accurate submission. Furthermore, our team will be at your side, offering guidance and assistance with any correspondence received from the FCA after the submission of the authorisation application.
Ongoing Compliance Support
Our ongoing compliance support is at the core of what we do at RQC Group, allowing us to fully understand your business and provide the appropriate advice. Our experts understand the difference between regulatory requirements, best practice, industry standard and a commercial decision and apply that knowledge to help you grow your business. Our suite of compliance policies and procedures are designed with the institutional investor in mind and can be fully integrated with your FCA obligations.
Our ongoing compliance services include:
- Provision of policies and procedures
- Development and execution of the compliance monitoring programme
- Strategic compliance planning
- Marketing and financial promotions review
- General regulatory and compliance advice
- FCA RegData reporting
- FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interaction with the FCA
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
Health Checks & Projects
Our team can carry out a number of different health checks and projects with our clients, based on their specific needs. We can also help you with the implementation of regulatory change – whether small projects like IFPR or SMCR, or larger ones such as MiFID II.
We offer a broad range of health checks and project work, including:
- Variation of permission application
- Change in control application
- Mock audit
- Compliance ‘health check’ review
- Targeted ‘deep dive’ compliance review
- Policy and procedure gap analysis
- Assistance with compliance remediation projects
Compliance Training
We can deliver tailored compliance training, in person or online. Our CPD-certified online FCA Compliance training courses have been designed to be as straightforward as possible, to ensure that the content of each course is proportionate to the training needs of each individual.
Advising on the U.S. Securities and Exchange Commission regulations was one of the reasons we started the RQC Group. Our team is fluent in U.S. regulations and more importantly, know how to translate and apply those rules for you.
The starting point is understanding the analysis of why your firm is required to register with the SEC and any exemptions that will keep you out of registration.
Registration
The SEC requires certain investment advisers to be registered or, if specific exemptions apply, to notify the SEC of their exempt reporting adviser status. Beyond registration, the SEC also requires firms to establish and maintain policies and procedures that meet regulatory standards.
Our team works with applicants to efficiently manage each step of the registration process by assisting with:
- Drafting of the Form ADV, the SEC’s registration and public disclosure document;
- Filing of the Annual Form ADV Updating Amendment;
- Providing the applicant with comprehensive compliance policies and procedures designed to meet the expectations of the SEC; and
- Developing a compliance monitoring program suitable for a business of each applicant’s size and complexity.
We handle every application with meticulous attention to detail, ensuring its accurate submission. Furthermore, we also offer guidance and assistance with any correspondence received from the SEC after the submission of the Form ADV.
Ongoing Compliance Support
Our ongoing support allows us to help implement the appropriate policies and procedures and ensure that they are adequate and effective. We encourage you to proactively work with us to identify and manage regulatory issues.
Our advice and guidance is designed with the institutional investor in mind so you can focus on growing your business, meet the expectations of the regulator and look like your peer group.
Our ongoing compliance services include:
- Review and updating of compliance policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite monitoring meetings
- Annual compliance training
- Annual compliance review
- Form ADV
- Form PF
- Marketing materials review
- Targeted compliance testing
- Employee electronic communications review
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
Annual Reviews and Health Checks
Our senior SEC consultants are a cost-effective solution to carry out the Annual Review, health checks or a number of different thematic reviews and projects, including:
- Assessment and development of risk-based policies and procedures
- Targeted training
- Annual compliance review, in accordance with Rule 206 (4)-7
- Policy and procedure gap analysis
- Mock audit and interview preparation
Compliance with the U.S. Commodities Futures Trading Commission regulations means that your firm must register as a member of the National Futures Association (“NFA”) and comply with their rules. Our team includes ex-regulators.
We can help you understand why you need to register with the NFA and any exemptions to keep you out of unnecessary regulation.
NFA Registration
The CFTC regulates commodity futures and options markets in the United States. Various market participants are required to register with the CFTC unless they qualify for an exemption, including Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”).
Our team will coordinate the preparation, filing and project management of an applicant’s registration with the CFTC, as administered by the NFA, which includes:
- Drafting and filing the Form 7-R Application, which requests information that can be used to assess the applicant’s fitness to engage in business in the registration category selected;
- Assisting with the identification of Principals, Associated Persons, and Branch Managers, as applicable;
- Drafting and filing a Form 8-R registering each Principal, Associated Person, and Branch Manager, as required;
- Assisting in the assessment of proficiency requirements for Associated Persons and coordinate the request of any exam waivers, if applicable;
- Providing the applicant with compliance policies and procedures drafted to meet the expectations of the NFA; and
- Developing a compliance monitoring program suitable for a business of each applicant’s size and complexity.
We handle every application with meticulous attention to detail, ensuring its accurate submission. Furthermore, we also offer guidance and assistance with any correspondence received from the CFTC and/or NFA during the registration process.
NFA Ongoing Compliance Support
We can provide you with ongoing compliance support to help you understand your regulatory requirements and make sure you are complying with them.
Our ongoing compliance services include:
- Review and updating of policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite review meetings
- Assistance identifying associated persons, principals and branch offices
- Form 7R and Form 8R/8T
- Marketing materials review
- Assistance with regulatory filings and annual updates e.g., CPO-PQR and CTA-PR, NFA registration update, NFA Self Examination Questionnaire
- Frequent industry updates
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
NFA Reviews and Projects
Our senior consultants carry out a number of different projects with our clients, including:
- Assessment and development of risk-based policies and procedures
- Review of NFA Self-Examination Questionnaire
- Policy and procedure gap analysis
Advising on the U.S. Securities and Exchange Commission regulations was one of the reasons we started the RQC Group. Our team is fluent in U.S. regulations and more importantly, know how to translate and apply those rules for you.
The starting point is understanding the analysis of why your firm is required to register with the SEC and any exemptions that will keep you out of registration.
Registration
The SEC requires certain investment advisers to be registered or, if specific exemptions apply, to notify the SEC of their exempt reporting adviser status. Beyond registration, the SEC also requires firms to establish and maintain policies and procedures that meet regulatory standards.
Our team works with applicants to efficiently manage each step of the registration process by assisting with:
- Drafting of the Form ADV, the SEC’s registration and public disclosure document;
- Filing of the Annual Form ADV Updating Amendment;
- Providing the applicant with comprehensive compliance policies and procedures designed to meet the expectations of the SEC; and
- Developing a compliance monitoring program suitable for a business of each applicant’s size and complexity.
We handle every application with meticulous attention to detail, ensuring its accurate submission. Furthermore, we also offer guidance and assistance with any correspondence received from the SEC after the submission of the Form ADV.
Ongoing Compliance Support
Our ongoing support allows us to help implement the appropriate policies and procedures and ensure that they are adequate and effective. We encourage you to proactively work with us to identify and manage regulatory issues.
Our advice and guidance is designed with the institutional investor in mind so you can focus on growing your business, meet the expectations of the regulator and look like your peer group.
Our ongoing compliance services include:
- Review and updating of compliance policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite monitoring meetings
- Annual compliance training
- Annual compliance review
- Form ADV
- Form PF
- Marketing materials review
- Targeted compliance testing
- Employee electronic communications review
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
Annual Reviews and Health Checks
Our senior SEC consultants are a cost-effective solution to carry out the Annual Review, health checks or a number of different thematic reviews and projects, including:
- Assessment and development of risk-based policies and procedures
- Targeted training
- Annual compliance review, in accordance with Rule 206 (4)-7
- Policy and procedure gap analysis
- Mock audit and interview preparation
Compliance with the U.S. Commodities Futures Trading Commission regulations means that your firm must register as a member of the National Futures Association (“NFA”) and comply with their rules. Our team includes ex-regulators.
We can help you understand why you need to register with the NFA and any exemptions to keep you out of unnecessary regulation.
NFA Registration
The CFTC regulates commodity futures and options markets in the United States. Various market participants are required to register with the CFTC unless they qualify for an exemption, including Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”).
Our team will coordinate the preparation, filing and project management of an applicant’s registration with the CFTC, as administered by the NFA, which includes:
- Drafting and filing the Form 7-R Application, which requests information that can be used to assess the applicant’s fitness to engage in business in the registration category selected;
- Assisting with the identification of Principals, Associated Persons, and Branch Managers, as applicable;
- Drafting and filing a Form 8-R registering each Principal, Associated Person, and Branch Manager, as required;
- Assisting in the assessment of proficiency requirements for Associated Persons and coordinate the request of any exam waivers, if applicable;
- Providing the applicant with compliance policies and procedures drafted to meet the expectations of the NFA; and
- Developing a compliance monitoring program suitable for a business of each applicant’s size and complexity.
We handle every application with meticulous attention to detail, ensuring its accurate submission. Furthermore, we also offer guidance and assistance with any correspondence received from the CFTC and/or NFA during the registration process.
NFA Ongoing Compliance Support
We can provide you with ongoing compliance support to help you understand your regulatory requirements and make sure you are complying with them.
Our ongoing compliance services include:
- Review and updating of policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite review meetings
- Assistance identifying associated persons, principals and branch offices
- Form 7R and Form 8R/8T
- Marketing materials review
- Assistance with regulatory filings and annual updates e.g., CPO-PQR and CTA-PR, NFA registration update, NFA Self Examination Questionnaire
- Frequent industry updates
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
NFA Reviews and Projects
Our senior consultants carry out a number of different projects with our clients, including:
- Assessment and development of risk-based policies and procedures
- Review of NFA Self-Examination Questionnaire
- Policy and procedure gap analysis
Our experts have been undertaking FCA applications since 2003, so we fully understand the big picture and can help you meet the FCA’s expectations in demonstrating that your firm is present in the UK and able to meet the Threshold Conditions.
We can save you time and money by managing your application, variation of permission or change of control.
Authorisation
Our FCA applications team boasts industry-leading expertise, with members who have previously served as regulators and consultants. With a collective experience in managing and processing over 500 FCA applications, our commitment is centred on minimising the workload for our clients.
Prior to initiating the application process, we work together with our clients to gather essential information, tailoring a comprehensive application pack to meet their specific needs.
Our applications team takes care to complete the following on our client’s behalf:
- Assessing and reviewing proposed regulated activities;
- Drafting the regulatory business plan;
- Support in recognising and fulfilling all required FCA forms and accompanying documentation;
- Providing guidance on Senior Manager applications and SMCR requirements;
- Assisting with the preparation of financial forecasts (and where needed reviewing of ICARA and wind-down plan);
- Providing key compliance documents required for the application submission; and
- Assisting in the application submission on the FCA’s Connect system
Rest assured, we will handle your application with meticulous attention to detail, ensuring its accurate submission. Furthermore, our team will be at your side, offering guidance and assistance with any correspondence received from the FCA after the submission of the authorisation application.
Ongoing Compliance Support
Our ongoing compliance support is at the core of what we do at RQC Group, allowing us to fully understand your business and provide the appropriate advice. Our experts understand the difference between regulatory requirements, best practice, industry standard and a commercial decision and apply that knowledge to help you grow your business. Our suite of compliance policies and procedures are designed with the institutional investor in mind and can be fully integrated with your FCA obligations.
Our ongoing compliance services include:
- Provision of policies and procedures
- Development and execution of the compliance monitoring programme
- Strategic compliance planning
- Marketing and financial promotions review
- General regulatory and compliance advice
- FCA RegData reporting
- FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interaction with the FCA
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
Health Checks & Projects
Our team can carry out a number of different health checks and projects with our clients, based on their specific needs. We can also help you with the implementation of regulatory change – whether small projects like IFPR or SMCR, or larger ones such as MiFID II.
We offer a broad range of health checks and project work, including:
- Variation of permission application
- Change in control application
- Mock audit
- Compliance ‘health check’ review
- Targeted ‘deep dive’ compliance review
- Policy and procedure gap analysis
- Assistance with compliance remediation projects
Compliance Training
We can deliver tailored compliance training, in person or online. Our CPD-certified online FCA Compliance training courses have been designed to be as straightforward as possible, to ensure that the content of each course is proportionate to the training needs of each individual.
