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FCA Application Templates

If you’re looking to make an application to the FCA for the authorisation of a firm, then you’re
in the right place – this page contains our ready to use template FCA application documents.
 

The application process can be a difficult one, especially as the level of scrutiny by the FCA
has increased in recent years, so it’s important to meet their standards when you apply.
 

To apply you will need:

  1. To log into the FCA’s connect system (FCA Connect | FCA)

  2. Select the application for the permissions you’re requiring and complete the firm
    details in the online forms

  3. Attach a detailed business plan, as the most important document in your application
    it must set out the rationale for your business, detail your services, business strategy,
    management structure, financial arrangements, marketing strategy and governance
    framework ensuring all are in line with FCA requirements.

  4. Submit a compliance monitoring plan, which sets out the arrangements you have to
    ensure compliance in the organisation, ideally across three lines.

  5. Finally, a financial analysis is required using the FCA’s template:  Preparing your firm's financial information | FCA

We can support your firm's application, you have two options:

  1. Use our FCA application templates below (business plan, compliance monitoring plan and guidance document as well as our SMF application documents).

  2. Use our full consultancy support, we’re experienced at helping firms through the
    application process with our FCA application consultancy support, contact us for this option.

If you are not sure yet, you can download our free checklist which helps you get ready for your application by filling in the form below.

Download our DIY FCA Application Pack

DIY FCA APPLICATION PACK
£400+VAT

This pack includes a Guide, a Compliance Monitoring Plan template for lenders, and a Regulatory Business Plan template for lenders, to support your application to the FCA.

Note: Our FCA application templates are designed for consumer credit lenders although can be used for other application types. If you need further help with your FCA application, contact us for support.

 

For information about fees charged by the FCA visit: Authorisation and registration application fees | FCA

FCA Application Template Documents

SENIOR MANAGER FUNCTION APPLICATION PACK
£150+VAT

​This pack provides you with all you need to get a senior manager authorised by the FCA, it includes a step-by-step guide, fit and proper process template, statement of responsibilities template, skills gap-analysis and training plan.

CONSUMER CREDIT SOURCEBOOK - A GUIDE
£99+VAT

This 108-page guide sets out the key provisions of CONC in plain, easy to understand English, taking the complexity and confusion out of understanding the sourcebook, and potentially saving countless hours of work.

​

Now updated to explain the 4th November 2024 CONC changes in plain English.

CONC CHAPTER 8 GUIDE: DEBT ADVICE
£49+VAT

​This guide is intended as a summary guide for firms that need to abide by the obligations in CONC 8. It explains, in plain English, the main conduct standards for debt advice that firms need to abide by to ensure compliance.

CONSUMER CREDIT SOURCEBOOK TRAINING MATERIALS
£99+VAT

​CONC is complex & lengthy, but firms must ensure that their customer-facing staff & management are fully trained on its provisions to ensure compliance with regulatory expectation. This comprehensive training package can be amended to suit the needs of the firm, and of the learners.

DISPUTE RESOLUTION: COMPLAINTS (DISP) - A GUIDE
£99+VAT

​This 47-page guide is intended as a summary guide for firms that need to abide by the obligations in DISP. It explains, in plain English, the main rules that firms need to abide by to ensure compliance.

SENIOR MANAGEMENT, ARRANGEMENTS, SYSTEMS AND CONTROLS (SYSC) - A GUIDE
£75+VAT

This 34-page guide is intended as a high-level summary guide for firms that need to abide by the obligations in SYSC. It explains, in plain English, the main rules that firms need to abide by to ensure compliance. 

THE FCA'S EXPECTATIONS ON VULNERABLE CUSTOMERS
£75+VAT

This 30-page guide is a summary for all firms in their treatment of vulnerable & potentially vulnerable consumers. It explains, in plain English, the FCA's main rules & guidance that need to be abided by to ensure compliance.

THE FCA'S EXPECTATIONS ON VULNERABLE CUSTOMERS
TRAINING MATERIALS
£99+VAT

This pack of slides & training materials forms a comprehensive basis for a robust training session aimed at ensuring customer-facing staff understand what vulnerability is, how it can be identified & how to deal fairly with vulnerable customers.

DIY FCA APPLICATION PACK
£400+VAT

This pack includes a Guide, a Compliance Monitoring Plan template for lenders, and a Regulatory Business Plan template for lenders, to support your application to the FCA.

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