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Applications for Financial Regulation

Our financial application service covers all types of financial firms, including Investment Management firms and intermediary firms.

Our service includes advising on such things as Controllers, Close Links, Approved Persons and Client Money as well as providing the client with the appropriate Compliance Procedures and a Compliance Monitoring Plan for their business.

Braxton Financial Regulation will liaise closely with the Financial Authority authorisation team and monitor the progress of an application.

European Passport

Under the European Union (EU) Single Market initiative, it is possible to obtain an EEA Passport (on a cross-border Service or a Branch basis) into any or all of the EEA countries. This avoids the need for individual regulatory clearance or authorisation in those countries for which Passports are granted. We will deal with these issues and advise appropriately.