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Investment & wealth
Investment and wealth management authorisation
Authorisation for wealth managers, asset managers and investment firms — investment services, fund management, and the equivalent regimes across jurisdictions.
We take investment and wealth firms through authorisation to fully operational — the regulatory pack, the prudential position, client-asset protections and the governance a regulator expects to see before granting permission.
What we cover
- Investment firm and portfolio-management permissions
- Asset, fund and investment management (including AIFMD and UCITS in Europe)
- Prudential requirements and ICARA / own-funds planning
- Client assets and client money protections
- Governance, SMCR and senior-manager arrangements
The application suite
- Regulatory business plan
- Compliance and risk management frameworks
- Financial model and ICARA / capital assessment
- Client-asset and conflicts policies
- The authorisation application, start to finish
Where we authorise
United Kingdom
Investment firms and managers under the FCA.
European Union
MiFID firms and fund managers, with EEA passporting.
Rest of world
Fund and asset-management regimes in major hubs.
Why firms use Pitchsd
We have led authorisations, run compliance functions and operated regulated firms — and dealt directly with regulators and the Financial Ombudsman. Our applications are written by people who have had to live with the frameworks they produce.
We also build the technology the business runs on, so the platform and the permission arrive together rather than being someone else's problem. And we can put senior people into the business — a fractional MLRO, non-executive directors, a CFO — through our network.