Manchester & London Solicitors

Finance

FCA Licensing

FCA Licensing

Under the Financial Services and Markets Act 2000, certain financial services firms must be regulated by the Financial Conduct Authority. Certain firms must be authorised, some regulated, and some must be both. This covers firms such as:

  • Consumer Credit
  • Investment
  • Benchmark Administrators
  • Payment Services and e-Money
  • Innovative

Monarch Solicitors can provide you with specialist advice as to whether you are a firm which needs to be registered or requires a licence and we can help guide you through that process.

However, if you are a firm which has been informed you are to be investigated by the Financial Conduct Authority, we can help you take immediate action to ensure you have the protection you need to navigate complex regulation.

Contact our Corporate Solicitors:

If you would like to enquire about any matters relating to FCA licensing please complete our online contact form here or send an email to us at [email protected] and one of our solicitors shall call you back.

Alternatively, please call our corporate solicitors in Manchester on 0330 127 8888 for a no obligation discussion.

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Members of

FAQ

Most frequent questions and answers

During an investigation the FCA has authority to suspend, vary or withdraw permissions allowing individuals from undertaking regulated activities.

  • The FCA has a wide range of enforcement powers available following an investigation, including:
  • withdrawing a firm’s authorisation
  • prohibiting individuals from carrying on regulated activities
  • suspending firms and individuals from undertaking regulated activities
  • issuing fines against firms and individuals who breach our rules or commit market abuse
  • issuing fines against firms breaching competition laws
  • making a public announcement when we begin disciplinary action and publishing details of warning, decision and final notices
  • applying to the courts for injunctions, restitution orders, winding-up and other insolvency orders
  • bringing criminal prosecutions to tackle financial crime, such as insider dealing, unauthorised business and false claims to be FCA authorised
  • issuing warnings and alerts about unauthorised firms and individuals and requesting that web hosts deactivate associated websites

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