SERVICES
Authorisation, registration and launch
Practical compliance support for investment and asset management firms preparing to launch, register, become authorised or expand their regulated activities.
Support from planning through approval and launch
Launching or changing a regulated investment business involves more than completing an application or filing. Firms need a clear regulatory path, practical controls, credible documentation and a delivery plan that reflects how the business will actually operate.
Catapalt supports firms through the planning, preparation and implementation work needed to move from commercial intent to operational readiness.
WHAT WE SUPPORT
Practical support across the launch journey
From early planning through to regulatory submission and operational readiness, Catapalt helps firms organise the work, documentation and controls needed to move forward with confidence.
Regulatory perimeter guidance and permissions
Clarifying the activities, permissions and regulatory considerations relevant to the proposed business model.
Application and registration planning
Helping firms understand the work required, the sequencing of key steps and the information needed for submission or registration.
Policies and procedures
Developing practical compliance documentation that reflects how the firm intends to operate.
Governance and controls
Supporting the design of proportionate controls, responsibilities and oversight arrangements.
Risk-based compliance monitoring
Working with firms to assess business risks and structure the second line of defence.
Post-launch regulatory change
Supporting changes to permissions, registrations, activities or operating models as the business develops.
JURISDICTION COVERAGE
UK and US regulatory pathways
Catapalt supports investment and asset management firms operating across UK and US regulatory frameworks. The right pathway depends on the firm’s structure, activities, clients, products and stage of development.
United Kingdom
For firms operating under the UK regulatory framework, support may include FCA authorisation planning, variation of permission considerations, launch compliance infrastructure, governance arrangements and ongoing regulatory obligations.
- FCA authorisation and permissions
- Variation of permission planning
- Compliance infrastructure for launch
- Governance and oversight arrangements
United States
For firms operating under US regulatory frameworks, support may include SEC investment adviser registration, CFTC or NFA registration considerations, Form ADV preparation, compliance programme design and launch-related controls.
- SEC investment adviser registration
- CFTC and NFA registration considerations
- Form ADV preparation
- Compliance programme design
HOW CATAPALT WORKS
Senior-led support, structured delivery
We combine experienced regulatory judgement with disciplined delivery processes and carefully applied technology, helping firms move through complex compliance work with clarity and momentum.
01
Understand the business
We start by understanding the firm’s structure, strategy, activities, clients, products and regulatory objectives.
02
Build the compliance path
We help identify the regulatory steps, documentation, controls and sequencing needed to support the firm’s intended direction.
03
Support implementation
We work with the firm to turn the plan into practical outputs, supported by clear ownership, records and next steps.
COMMON TRIGGERS
When firms typically need this support
Firms usually seek this support when they are preparing for a launch, changing their regulatory position or expanding the scope of their investment management activities.
- Launching a new investment or asset management firm
- Preparing for FCA authorisation or a variation of permission
- Registering as an investment adviser with the SEC
- Considering CFTC or NFA registration requirements
- Adding a new strategy, product or client type
- Expanding into a new jurisdiction
- Building compliance infrastructure before launch
- Responding to investor, board or operational due diligence expectations
Planning a launch, registration or change in regulatory status?
Tell us what you are building, where you expect to operate and what stage you are at. We will help you identify the right compliance path and the practical steps needed to move forward.