We help firms obtain the regulatory authorisations and licences they need to establish, expand and operate regulated businesses. From early planning through to application, regulator engagement and operational readiness, our specialists support you at every stage of the process.
Whether you're launching a new regulated business, expanding into a new jurisdiction or applying for additional permissions, we provide practical guidance tailored to your business, regulatory requirements and chosen jurisdiction. Our structured approach is designed to support you through each stage of the authorisation process, helping you move forward with confidence.
Supporting every stage of your regulatory journey
Early-stage planning
We help you define your regulatory strategy and identify the permissions, licence or registration your business requires, giving you a clear understanding of regulatory expectations before your application begins.
Typical support includes:
- Assessing your business model
- Identifying required permissions, licence or registration
- Developing your regulatory strategy
- Capital and prudential planning
Preparing your application
We prepare the documentation needed to support a strong, well-evidenced application that reflects your business model and regulatory requirements.
Typical support includes as required:
- Regulatory business plans
- Financial projections
- Governance structures
- Policies and procedures
- Compliance and AML frameworks
Regulatory engagement
We manage communications with regulators throughout the application process, helping respond to regulatory questions efficiently and keeping your application progressing. For more complex applications, we can guide you on the best regulator communication strategy and advise throughout the process.
Preparing senior management
We help individuals applying for controlled or regulated functions understand their responsibilities and prepare for regulatory engagement.
Operational readiness
Initial authorisation is only the beginning. We help your firm get ready to operate from day one by supporting the implementation of appropriate compliance frameworks, monitoring programmes, reporting obligations and training.
Which jurisdictions does Ocorian support?
Our regulatory specialists support firms across multiple jurisdictions, combining local regulatory knowledge with a coordinated global approach.
United States
Support with SEC ERA (Exempt Reporting Adviser) and RIA (Registered Investment Adviser) registrations, plus navigating state by state requirements.
United Kingdom
Support with FCA authorisations, variations of permission, change in control and ongoing regulatory engagement.
Channel Islands
Support with GFSC and JFSC licence applications and regulatory approvals.
United Arab Emirates
Support with DFSA and FSRA licence applications and regulatory approvals.
Singapore
Support with MAS licensing applications across regulated financial services.
Hong Kong
Support with SFC licensing and Responsible Officer applications.
Frequently asked questions
It is the process of obtaining the permissions, licence or registration a firm needs to establish, expand or operate a regulated business. Ocorian supports you from early planning through application, regulator engagement and operational readiness.
Ocorian helps assess your business model, define your regulatory strategy, prepare the application documentation (regulatory business plans, financial projections, governance structures, policies, and compliance and AML frameworks), and manage communications with the regulator.
Ocorian supports firms across the United States (SEC ERA and RIA), the United Kingdom (FCA), the Channel Islands (GFSC and JFSC), the United Arab Emirates (DFSA and FSRA), Singapore (MAS) and Hong Kong (SFC).
Initial authorisation is only the beginning. Ocorian helps your firm get ready to operate from day one, and can provide ongoing regulatory compliance operations support.
Let’s talk
Contact us and a member of our team will be in touch.
If you would like to speak to someone in regards to media please email: [email protected]
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