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The Pre-Application Regulatory Audit is a structured review designed to help firms assess their readiness before submitting an FCA authorisation application.
It provides an independent sense-check of whether the firm’s proposed business model, governance arrangements, policies and supporting documentation are aligned with FCA expectations at the point of application.
The audit is intended to identify gaps, inconsistencies and areas requiring further development before engagement with the regulator.
The Pre-Application Regulatory Audit is a structured review designed to help firms assess their readiness before submitting an FCA authorisation application.
It provides an independent sense-check of whether the firm’s proposed business model, governance arrangements, policies and supporting documentation are aligned with FCA expectations at the point of application.
The audit is intended to identify gaps, inconsistencies and areas requiring further development before engagement with the regulator.