Applications and Authorisations

Getting Authorised – Application Services

If you are a new business or a business that is moving into a regulated sector it will be necessary for you to make an application to an appropriate regulator for your sector to gain the authorisation status you need to deliver the intended services or products.

We work with the following sectors making applications to their regulated bodies

• Solicitors – SRA applications
• Estate Agents – HMRC AML applications
• Accountants – FCA applications
• Art Dealers – HMRC AML applications
• Insurance Brokers and Agents – FCA applications
• Financial Services – FCA applications

The making of an application to a regulator can be a time consuming and frustrating process. If you do not deliver the answer in the way the regulator requires this will raise further questions and delay your application.

We will work with you to ensure there is a full understanding of the questions being asked and that your approach, policies and procedures are in place, enabling you to answer the question fully and correctly but most importantly truthfully.

Every business is different and approaches to the work you do will differ. However, your approach to regulation must be consistent, and it is essential when making applications for authorisation, that you understand the regulator’s requirements and you have the necessary policies and procedures in place to comply with those requirements.

At AML and Compliance we will work with you to ensure your business is not only ready to make the application for authorisation, but that the process is easier to navigate to secure the correct route to your required approval.

To enquire about our Applications and Authorisations services and how AML and Compliance can work with your business you can call us on 0203 985 8553, email us info@amlandcompliance.co.uk or complete an enquiry form.