What compliance functions can ACA support through Managed Services?

AML due diligence, sanctions screening, marketing review, and core compliance task execution.

Can ACA help firms manage global AML onboarding and screening requirements?

Yes—covering due diligence, onboarding, screening, and monitoring to meet global AML standards.

How does ACA support Marketing and Financial Promotions review?

By reviewing pitchbooks, emails, and other content for SEC, FCA, and ESMA compliance.

What is included in core compliance task outsourcing?

Regulatory calendar execution, compliance tracking, policy reviews, and flexible staffing.

Can ACA provide temporary compliance staff or secondments?

Yes—short-term and ongoing secondments to fill key compliance roles.

How do firms maintain control while outsourcing compliance tasks?

Firms retain final oversight and decision-making while ACA executes tasks per their policies.

What systems does ACA use to deliver its services?

Services run on ACA’s ComplianceAlpha ® platform or within clients’ existing systems.

Does ACA support multi-jurisdictional compliance teams?

Yes—structured to handle U.S., U.K., and EU regulatory frameworks.

How does ACA ensure consistent execution across compliance tasks?

Standardized procedures and escalation logic ensure repeatable, policy-aligned work.

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FCA Authorization Support

Streamlined FCA authorization with expert guidance.

Whether you’re launching a new financial services firm or expanding into regulated activities, obtaining authorization from the Financial Conduct Authority (FCA) is a critical step. Our dedicated team helps you navigate the complex FCA application process, minimizing delays and avoiding common pitfalls, to ensure your submission meets regulatory expectations.

ACA works with a wide range of businesses, from firms seeking Part 4A Permission for the first time to established regulated entities applying for a Variation of Permission (VoP). We also support setting up a UK presence post-Brexit or when businesses navigate the complexities of dual UK and U.S. regulatory registration. Whatever your starting point, we provide the specialist support you need to move forward with confidence.

Need support with FCA authorization or cross-border regulatory compliance? Book a free review to explore how we can streamline your application and strengthen your approach.

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ACA are Specialists in FCA Authorization

With over a decade of experience and hundreds of successful FCA applications, we offer a comprehensive suite of services:

Readiness Assessment and Strategy

Identify gaps and strengthen your position before applying with a tailored readiness review—ensuring your business is fully prepared for FCA scrutiny.

FCA Application Project Management

Stay focused on your business while your FCA application is expertly managed from start to finish—ensuring nothing is missed and every step is handled efficiently.

Application Pack Preparation

Submit with confidence using a tailored application pack that clearly presents your business model, compliance framework, and financials to meet FCA expectations.

Regulatory Engagement

Build early trust with the FCA by engaging in pre-submission discussions that surface and resolve potential issues before they become roadblocks.

Due Diligence Support

Respond to FCA queries with precision and clarity, backed by well-prepared, technically sound answers that reinforce the strength of your application.

Post-Authorization Support

Maintain compliance with ongoing access to advisory services, regulatory tech, and managed solutions that evolve with your business.

Ready to Start Your FCA Authorization Journey?

Book a call with one of our regulatory specialists to map out your next steps and get expert guidance from day one.

Why FCA Authorization Matters

Securing FCA authorization is more than a regulatory requirement; it’s a strategic asset that signals operational integrity and long-term viability. Here’s how it strengthens your firm’s foundation:

Legal Compliance

Avoid penalties by ensuring your firm is authorized to conduct regulated activities in the UK.

Investor Confidence

Demonstrate regulatory credibility to institutional investors and wealth managers.

M&A Advantage

Enhance your firm’s value proposition as a regulated, independently operated entity.

Capital Raising

Position your firm as a stable, long-term investment opportunity.

Risk Mitigation

Operate within a structured regulatory framework that supports sustainable growth.

Prudential Standards

Showcase your commitment to financial resilience through Internal Capital Adequacy and Risk Assessment (ICARA) documentation and wind-down planning.

Why ACA?

Reduce Internal Burden

Offload the complexity of FCA authorization to specialists who handle the technical detail, documentation, and regulator engagement, so your team can stay focused on core business priorities.

Accelerate and Strengthen Your Application

Move faster with a structured, expert-led approach that ensures your submission is complete, accurate, and aligned with FCA expectations.

Stay Ahead of Regulatory Expectations

Benefit from ongoing insight into evolving FCA requirements, so your application and compliance program remain proactive and future-ready.

Exploring an alternative route to market? If full FCA authorization isn’t the best option at this stage, regulatory hosting provides a flexible, efficient alternative. Our ACA Mirabella hosting platform allows you to operate under our regulatory permissions, helping you get to market faster while maintaining strong compliance oversight.

Global Regulatory Support

In addition to FCA authorization, ACA’s London-based team of U.S. registration specialists can manage your SEC registration, FINRA membership, and CFTC registration.

This integrated approach ensures seamless cross-border compliance for firms operating in the UK and U.S. markets.

FAQs

FCA Authorization Support

What is FCA Authorization?

FCA Authorization is the process by which the Financial Conduct Authority grants firms permission to carry out regulated financial activities in the UK.

Who needs FCA Authorization?

Any firm conducting regulated financial services in the UK, such as investment management, lending, or financial advice, must be authorised by the FCA unless exempt.

How long does the FCA Authorization process take?

The process typically takes six to 12 months, depending on the complexity of your business and the completeness of your application.

What is Part 4A Permission?

Part 4A Permission is the formal approval granted by the FCA under the Financial Services and Markets Act 2000, allowing firms to carry out specific regulated activities.

Can you help overseas firms apply for FCA Authorization?

Yes. We support third-country branch applications and Brexit-related authorization projects for firms seeking to access the UK market.

What documents are required for FCA Authorization?

For FCA authorization, you’ll need a business plan, compliance framework, financial forecasts, ICARA documentation (if applicable), and fit and proper assessments for key personnel.

Do you offer post-authorization compliance support?

Absolutely. ACA provides compliance advisory, regulatory technology, managed services, and more to help you stay compliant after authorization.

Is there an alternative to full FCA Authorization?

Yes. If you’re looking for a flexible route to market, we offer regulatory hosting through our ACA Mirabella platform. This allows you to operate under our FCA permissions while maintaining full control over your business strategy. It’s an ideal solution for firms launching new ventures, testing the UK market, or seeking to reduce regulatory overhead.
Learn more about ACA Mirabella Regulatory Hosting

How do I start the FCA authorization process?

Starting your FCA application can feel overwhelming, but it doesn’t have to be. Whether you’re still exploring your options or ready to move forward, we’re here to guide you through every step. Contact us to schedule a strategy session and get started.