Navigating FCA Compliance with MEMA: Credit Broking and Appointed Representatives

This presentation provides a comprehensive guide to understanding FCA authorisation for credit broking firms and the role of Appointed Representatives and Principal Firms. It outlines how MEMA Consultants supports businesses through every step of the FCA authorisation process, from initial consultation to ongoing compliance. The presentation also highlights MEMA's expertise and bespoke services, making them a trusted partner for firms seeking to achieve and maintain regulatory compliance in the financial sector.

1. INTRODUCTION TO
MORTGAGE BROKING AND
FCA AUTHORISATION
Overview of FCA authorisation for firms in credit broking.
Briefly introduce the necessity of FCA authorisation and its importance for credit
broking activities.

2. APPOINTED
REPRESENTATIVES AND
PRINCIPAL FIRMS
Explanation of Appointed Representatives (AR) and
Principal Firms.
Define what ARs and Principal Firms are, and how
firms transition from AR to direct FCA authorisation.

3. MEMA’S ROLE IN FCA
AUTHORISATION
PROCESS
How MEMA supports firms through
the FCA authorisation journey.
Highlight the step-by-step support
MEMA provides, from initial
consultation to document
preparation and application
submission.

4. ONGOING COMPLIANCE
SUPPORT BY MEMA
MEMA’s services for maintaining compliance post-
authorisation.
Discuss the bespoke compliance monitoring, advice, and
documentation services that MEMA offers to help firms stay
compliant.

5. WHY CHOOSE MEMA FOR
FCA COMPLIANCE
Unique strengths and expertise of MEMA Consultants.
Emphasize MEMA’s industry experience, regulatory insight, and
successful track record in helping firms achieve and maintain FCA
compliance.

6. CONTACT US
[email protected]
03301330811

Suite 1810, Unit 3a,34-35 Hatton Gardens, Holborn, EC1N 8DX
https://www.memaconsultants.com/

7. THANK
YOU