Professional Services

Authorisations: Our Five
Step Approach

We assist you in managing and enhancing your complex operations, ensuring ongoing enhancement and consistent delivery of sustained results in the most cost-effective manner.

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Why choose us:

Fast-Track
Authorisation

We ensure you take all steps possible to obtain authorisation as quickly as possible. We have significantly shorter authorisation times than the industry average.

100%  
Success Rate

We pride ourselves in having a 100% application success rate.

Expert
Support Team

Our team of 40+ risk & compliance experts ensure that you always have on-hand support to guide you through the process of authorisation.

Customised
Operating Model

We will consult with you throughout the process to ensure we develop the correct operating model for your business. This includes implementing all required policies and procedures.

What our clients say:

“Novatus Advisory ensured we achieved MiFID authorisation within 6 months. They supported all key business decisions – operations, capital allocation, trading model, Board composition – which gave us absolute confidence we would meet our regulatory obligations and strategic objectives in the most cost-effective manner.”

European Asset Manager

“We were concerned with the rising costs of using an external AIFM, so we partnered with Novatus Advisory to assess alternative solutions. They led our AIFM authorisation process which has resulted in significant annual savings and increased efficiencies across the business”

Global Asset Manager

“We had two previous rejections for our crypto licence before we were referred to Novatus Advisory. They managed the entire process end-to-end, and we achieved authorisation six months later. They are undoubtedly the go to firm for crypto authorisations.”

Cryptoasset Manager

We pride ourselves on client delivery. Our tried and tested five step application process sets us apart from competitors.

Our process has been proven across all regulatory authorisations, and continually enhanced to address regulator concerns such as consumer duty, scenario and stress tests. Results have proven to show rapid approval, high success rates.

Our team of experts will support you in all areas of the below to ensure you have constant oversight of the process, hands-on support and are kept abreast of all developments.

Solutions:

Determine optimal authorisation type and operating model

Ensure firms have absolute confidence they are seeking the correct authorisations.

Develop Regulatory Business Plan, ICARA, and supporting policies

Develop comprehensive, tailored documents that meet regulatory expectations with minimal input from the founders.

Complete all required documentation and submit application

Ensure all application forms are completed and submitted correctly.

Business setup, including supporting OMS selection and implementation

Our team of experts support all operational aspects to ensure your business is ready for ‘go-live’ and set for long-term success.

Once authorisation is achieved, provide compliance and risk support as needed

Provide managed Risk, Compliance and ESG services that provide the breadth and depth of expertise required by external parties.

Industry Specialism

Our team of experts provide practical guidance advising on your business model, permissions and governing structure. Key areas of successful application include, Regulatory Business Plan (RBP), ICARA, Risk Framework and Compliance Framework.

Crypto-asset Authorisation

For those seeking Cryptoasset authorisation and aiming to maximise your chances of successful approval, our team specialises in ensuring compliance with relevant laws and regulations. This includes financial regulations, data protection and privacy laws, consumer protection laws, and anti-money laundering laws.

We focus specifically on assisting firms in this area and possess deep expertise in money laundering, risk management, financial regulation, and counter-terrorism regulations.