Applying for Authorisation as a Financial Services Provider

  • Price: £3.60
  • Published: January 2015
  • Type: Business Information Factsheet
  • Format: PDF

Firms and individuals whose business activities include advising on financial products, providing financial services, offering consumers credit or dealing with consumer debt, must be authorised by the Financial Conduct Authority (FCA), unless they qualify for an exemption. The FCA is a statutory body that regulates the financial services industry in the UK.

This fact sheet explains which business activities require authorisation by the FCA and outlines how to apply for authorisation to provide financial services or consumer credit. It covers what firms (including sole traders and partnerships) must do when they are authorised and explains the enforcement powers of the FCA and the Financial Ombudsman Service. It also outlines the role of the Prudential Regulatory Authority (PRA).

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