RQC Group’s compliance specialists expertly guide you through FCA authorisation, SEC and CFTC/NFA registration. We deliver ongoing compliance support, training, health checks and reviews to help you with all your regulatory requirements.
Our FCA applications team has collective experience in completing over 500 FCA applications. With team members having previously worked at regulators, in-house and consultancies, we provide you with industry-leading insight into all sides of the process.
We minimise your workload, gathering information that allows us to tailor a comprehensive FCA application pack on your behalf.
We will:
Once submitted, we will guide you through communications with the FCA. This includes:
Delivering ongoing FCA compliance support is core to RQC Group’s work, enabling us to gain deep insight into your operations and deliver tailored, strategic guidance. We help you distinguish between regulatory requirements, best practice and industry standards empowering smarter, more confident business decisions.
Monitoring takes place in RegteQ®, RQC Group’s online, user-friendly and auditable RegTech platform.
Our experts will help you meet your regulatory obligations by providing:
For ongoing reassurance and to stress-test changes within your business, take advantage of our health checks and tailored projects.
Our services include:
We deliver industry-leading CPD-certified FCA Compliance training courses online and also provide in-person training. Straightforward and engaging, our content is proportionate to each individual’s training needs, offering best value and being respectful to your employees’ time.
Leveraging our extensive experience, we help firms navigate SEC registration and notification requirements with clarity and precision.
Our team will work closely with you to help you develop and implement robust policies and procedures that meet SEC standards.
We will:
We will also support you with any post-submission correspondence from the SEC.
We have extensive experience providing ongoing SEC compliance support, enabling us to deliver strategic tailored guidance.
Our approach helps you navigate the nuances of regulatory obligations, best practices, and industry standards—empowering you to make informed and effective decisions.
Monitoring takes place in RegteQ® , RQC Group’s online, user-friendly and auditable RegTech platform.
Our experts will help you meet your regulatory obligations by providing:
Our senior consultants will help you remain compliant with the SEC’s regulations, supporting you with:
Our NFA registrations team will smoothly coordinate the preparation, filing and project management of your CFTC registration, as administered by the NFA.
We will:
We will also support you with any post-submission correspondence from the NFA.
Our expert team will provide ongoing compliance support to help you continue to understand and uphold your regulatory requirements.
Monitoring takes place in RegteQ®, RQC Group’s online, user-friendly and auditable RegTech platform.
Our experts will help you meet your regulatory obligations by providing:
Our senior consultants will support you with:
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