The UK remains one of the world’s most influential financial centres, offering access to deep pools of capital, sophisticated investors, and a robust regulatory framework that inspires trust. For global investment managers and asset managers, establishing a presence in the UK is more than a strategic move; it’s a statement of credibility.
Operating under your own FCA licence signals independence and long-term commitment. By combining this with a structured, FCA-aligned compliance framework, firms gain the resilience, scalability, and investor confidence needed to grow in a competitive market.
Build a Regulatory Framework That Opens Doors
1. Understand FCA authorisation requirements
Prepare a comprehensive and complete application that reflects your business model, governance arrangements, and risk management approach. Anticipate FCA queries and ensure your documentation is complete and consistent.
2. Design governance and SM&CR structures
Establish clear roles and responsibilities supported by robust governance arrangements and escalation protocols. Incorporate tailored training for senior management and staff to ensure competency and regulatory awareness.
3. Prepare for prudential and AML/KYC obligations
Implement proportionate controls for financial crime prevention and client onboarding. Address prudential requirements, including capital adequacy planning and ICARA (Internal Capital Adequacy and Risk Assessment) preparation.
4. Implement technology for oversight
Leverage systems that provide real-time compliance monitoring and audit ready records. Technology-enabled oversight reassures investors and regulators alike and creates a scalable compliance infrastructure that supports future growth and evolving regulatory demands.
5. Plan for scalability and cross-border compliance
Design a compliance framework that can evolve with your business and supports new products, structural changes, and multi-jurisdictional obligations.
Accessing the UK market is a gateway to global growth, but success depends on more than ambition. It requires a regulatory foundation that inspires confidence, mitigates risk, and supports long-term scalability. Contact us today to explore your UK market entry strategy and build a compliance environment that sets your firm apart.
Explore More in Our Webcast Series
Want to dive deeper into building investor confidence and navigating FCA authorisation? Watch our webcast series, The FCA Launch, Build, and Scale Journey.
Create a Regulatory Environment Built for Growth
Achieving FCA authorisation and maintaining a robust compliance programme can be complex and time-consuming. That’s where our expertise comes in.
We provide end-to-end FCA authorisation support combined with ongoing advisory services, ensuring your firm not only secures its licence, but operates confidently under it.
For firms seeking a complete service package, Mirabella Managed Solutions provides a white-glove service that supports investment managers across their authorisation-to-operation lifecycle, from regulatory applications through to the implementation, oversight, and execution of a robust compliance programme.
With Mirabella Managed Solutions, you gain:
- Expert FCA guidance from former regulators and compliance officers
- Operationally-embedded support for governance, filings, monitoring, and SM&CR
- Technology-enabled oversight for real-time visibility and audit readiness
- End-to-end compliance execution, including AML/KYC, prudential requirements, transaction reporting oversight, and tailored training
Whether you’re launching a new UK entity or scaling an existing FCA-authorised firm, we help you operate confidently under your own licence, while freeing internal resources to focus on growth.