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Investment firms require the correct regulatory permissions to conduct their business activities. Without the correct advisor, applications typically take over 12 months or are rejected.

Why Novatus:

We are experts in the authorisations process. Our team of ex CROs, CCOs, and front office risk professionals have practical experience when advising you on your business model, permissions, and governing structure - to maximise your chances of successful authorisation. Shell forms and templates mean considerable work for you and high chance of failure – Novatus will not give you that.

Our specialists have led multiple firms through the process across all regulatory regimes. We know what the regulators want to see, and previous experience ensures we know what success looks like – we boast a 100% success rate with all applications, and have achieved this in as little as three months in some cases.

Recent examples of work:

Well Known Fund Manager: MiFID and AIFM authorisation. We provided an end-to-end service, building out the operating model to gain both MiFID and AIFM licences, populating all documentation, policy development and leading the FCA Q&A phase. 

Asset Manager: We worked with the CEO and CIO to develop regulatory business plans, relevant policies, and determine their regulatory capital calculation.

Retail brokerage: MiFID authorisation. Our team reviewed and updated authorisation documentation as required, developed the SMCR roles and responsibilities map and led the FCA Q&A.

Proud to advise

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