Control Notification

Control Notification
Currently, there is a delay of approximately two months between submission of a complete notification to the FCA and allocation to a case officer.

In part, this is because a substantial proportion of the notifications the FCA receive are incomplete, which take much longer to process. Therefore the FCA recommends that all relevant information and documents are provided in the initial submission.

At PPL, our team work to ensure you stay on top your notifications and get your applications right first time - greatly reducing the chances of delays. 

For an application to be considered, your company must:

1. Produce detailed ownership charts, explaining any close links and regulated entities.
2. Demonstrate that you understand the risks in your business model, and explain how these will be mitigated.
3. Identify current and potential conflicts of interest, and explain how these will be managed.
4. Provide evidence of any funding you have secured.

It's better to do things right, than to do them twice. Find out more about the support we can give to your business by email: or calling 01274 921 234.