Frequently asked questions

Please contact us at info@regulationhub.co.uk if you cannot find an answer to your question. 

How are you different from other compliance consultancy firms? 

We are a boutique firm of compliance consultants which has a jargon free approach to compliance.  We will not confuse you with technical terms, long presentations or burden you with "nice to have" information, which only increases costs and can waste time.  

What types of FCA authorisations do you deal with? 

We deal with a broad range of FCA authorisations, ranging from small business applications for intermediaries to the more detailed applications for large financial services firms.

What services do you provide with an FCA application? 

We will able to prepare the FCA application for you.  This means completing the application on the FCA's connect system, providing you with policies and procedures which you will need to personalise and preparing the individual SMF applications for the Approved Persons.
We can also review an application that you have already prepared to ensure that it meets the FCA requirements. 

Who will deal with my FCA application? 

We will provide you with a dedicated compliance consultant who will be your point of contact throughout your engagement with us.   All our consultants hold recognised industry qualifications.

The oversight will be led by Mo Arshad, the Principal consultant and CEO, who is an experienced compliance professional with over fifteen years experience in regulatory compliance across Banking, General Insurance, Life Assurance and Pensions.

Mo holds a Law Degree, a Masters in Law as well as the respected Diploma in Governance, Risk and Compliance from the International Compliance Association. 

What is the payment process for FCA authorisations?

You will need to pay 50% on instruction.