Compliancy Services

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Ben Mason
Joint CEO
Compliancy Services
Contributions by Compliancy Services Experts

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Preparing a regulatory business plan—guidelines
Preparing a regulatory business plan—guidelines
Practice notes

This Practice Note provides guidance on the development of the regulatory business plan (RBP), which is an integral part of the application for authorisation from the Financial Conduct Authority (FCA). The guidance is broadly applicable for applicants in all main financial services sectors: investment, insurance intermediation, mortgages, credit and payment services. Applications to the Prudential Regulation Authority (PRA), however, (for banks and risk-taking insurers, for example) are a specialist process and out of scope for this document.

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