AIFM Authorisation Pack

For: UK AIFMs (full-scope / sub-threshold / private credit)

Includes

• Regulatory business plan (AIFMD-aligned)

• Governance and oversight framework

• Substance and delegation model

• Risk management framework (AIFMD)

• Valuation policy and independence model

• Liquidity management framework

• Remuneration policy (AIFMD)

• Conflicts of interest framework

• Regulatory capital analysis

• Outsourcing and service provider framework

• Regulatory permissions and activity mapping

FCA MiFID Investment Firm Authorisation Pack

For: UK MiFID investment firms (portfolio management, advisory, dealing)

Includes

• Threshold Conditions analysis

• Permissions and activity mapping

• Governance and SMCR framework

• ICARA framework and wind-down analysis

• Prudential capital methodology (MIFIDPRU)

• Risk taxonomy and monitoring framework

• Client categorisation and safeguarding

• Conflicts and inducements framework

• Outsourcing and operational resilience

• Regulatory reporting architecture

FCA Variation of Permission (VoP) Pack

For: Existing authorised firms expanding scope

Includes

• Change impact assessment

• Revised regulatory business plan

• Updated ICARA / capital analysis

• Governance and resource scaling

• Regulator facing rationale and evidence

Appointed Representative (AR) Architecture Pack (optional / secondary)

Includes

• Principal firm oversight framework

• AR risk assessment and onboarding

• Monitoring, reporting and termination processes