BECOMING DIRECTLY AUTHORISED

Becoming Directly Authorised

We appreciate that the decision to becoming a Directly Authorised Mortgage/Insurance Adviser or Credit Broker may appear daunting at first. We pride ourselves in making the process as straightforward and seamless as possible – answering any questions you have upfront, ensuring you understand what it means to be regulated and what the timescales and costs may be.

We have found that many of our clients have chosen to become Directly Authorised so that they are free to run their business as they choose, tailoring their advice services in a way that is appropriate for their firm.

Rockstone Compliance will work with you to complete your FCA application so that it can be submitted correctly and on time. We will write your Regulatory Business Plan and compliance policies and procedures, all of which are included in the application fee. We will also liaise with you once the application has been assigned with the FCA and support you in answering any supplementary questions that may arise.

Variations of Permissions

If you are already authorised by the FCA for other regulated activities and you need to add a further permission, we can assist you with the online application, compiling the business plan and providing supporting documentation.

We can also assist with;

• Changes in Legal Status – Change of Controllers;
• Connect guidance and assistance;
• Taking on an appointed representative;
• Changes to firm data

Please contact us to discuss the process and our associated fees in more detail.