Compliance services

Financial Conduct Authority ("FCA") Authorisation and Exchange Membership Applications

It is a criminal and civil offence to conduct unauthorised investment business in the UK. Axiom can advise you on which activities require authorisation. Our significant experience in the authorisation process and how to work with the FCA and investment exchanges makes us well placed to assist you with both your application and setting up of internal procedures to ensure compliance with rules that may be new to you.

According to your requirements Axiom will:

  • Complete, submit and project manage your application to FCA
  • Advise on controlled functions for key persons
  • Review your completed application
  • Create relevant compliance documentation
  • Liaise with FCA on your behalf.

Axiom’s expertise will turn what may otherwise appear a difficult task into a seamless experience.