Authorisation services offered by MMS Regulatory Solutions include:

• Assessing whether the proposed entity requires authorisation by the FSA
• Completing the FSA Authorisation Application Pack
• Preparing the Financial Resources section for inclusion in the application
• Providing all required compliance material including the compliance manual and compliance monitoring procedures
• Advising on the Training and Competence requirements of the individuals within the new business
• Reviewing the application prior to submission
• Assisting in any negotiations with the FSA that may arise during the authorisation process

Once authorisation is granted we provide an induction service that assists the new business to understand the ongoing requirements of record keeping, reporting and matters that require notification to the FSA.

SEC Registration

We also have the necessary skills and experience to assist in the completion of the required Form ADV for an Investment Adviser registration with the SEC. We can provide SEC compliant policies and procedures that help firms satisfy the requirements of the Investment Advisors Act.

Additional Information

To view more information on our Authorisation services in PDF format, please click here.

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We make it our business to ensure the services we offer are clear and comprehensible. Here are some brief descriptions of terms we use in this section.

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