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Approved Persons

At Thistle we have been supporting individuals in all sectors of the financial service industry to gain Approved Persons status from the FCA since our inception in 2012.

We are already supporting firms with the new Senior Manager & Certification Regime too. For more information on SM&CR click here to visit our dedicated webpage.

We have dealt with all types of Approved Person applications from the very straightforward to the very complex. We understand what the FCA is looking for in an Approved Person, what the Regulator needs to know about the individual and how to frame responses so that queries are reduced.

We can help make the process of applying as painless and smooth as possible, reducing stress and saving time.

We will support your Approved Person application every step of the way. Before anything goes to the FCA we will discuss the questions in the application form with you and what information you need to gather. We will advise if there are any possible flags which might trigger questions or concerns from the Regulator and, if so, how best to address these.

We will help you complete the forms and check the information being provided prior to submission to the FCA. If there are queries we will help with these and, if appropriate, we will ask the Regulator for updates, so you know where you stand.

We will provide Approved Persons training so you are fully equipped for your role. If the Regulator requests an interview prior to granting authorisation, we will give specific advice and guidance and role play the interview, so you are confident and well prepared.

We can also assist firms in recruiting for Approved Person positions including drawing up role descriptions and sitting in on interviews.

What the process involves

• We provide an initial FREE consultation to discuss the Approved Person’s role and how we can help; we then provide a quote for the service you require.
• We supply the FCA forms and talk you through what information and supporting documentation is required.
• We either review your draft form or complete the form for you, we also review your CV and identify any points which we think may raise questions.
• We deal with any correspondence from the Regulator right through to approval being granted.
• Depending on your requirements we provide access to our Knowledge Centre for Approved Person training or provide one to one onsite training.

How can Thistle help you?

We can help ensure that your application is in the best possible position to obtain approval. We have extensive experience covering a wide range of sectors and the right skills and knowledge to make the process as straightforward as possible.

Trust us with your Approved Persons application. We know exactly what we are doing. To find out more about becoming an FCA Approved Person please contact us today. You can reach us via filling in our contact form, email info@thistleinitiatives.co.uk or call 0207 436 0630.


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