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FCA Threshold Conditions

Updated: Jun 22, 2022


Understanding the FCA Threshold Conditions?

FCA Thresholds Conditions

Firms that apply for FCA authorisation have to meet the Financial Conduct Authority's minimum standards to become authorised – known as the “Threshold Conditions”.

In this article, we put on the FCA's hat and ask the questions the regulator thinks regarding your firm's application and whether it can meet the Threshold Conditions.

 

Location of Offices

  • Where are senior management based?

  • Is your firm suitably independent from its parent, where the parent firm is based abroad?

Effective Supervision

  • Can your firm show how it will follow all the applicable FCA rules in place?

  • How will you ensure that the firm is meeting all of it