Pre- & Post-Licence Support
Ready before you apply. Covered after.
A licence is a beginning, not a finish line — we get you application-ready before you file, and keep your governance, reporting and compliance running once you are live.
What it covers
The work either side of approval.
Most licences are lost before filing or slip after approval — not during the review itself. That is exactly where this service sits.
Before you apply, we run readiness assessments, close gaps and rehearse the regulator's questions. After approval, we operate as your outsourced compliance function — reporting calendars, governance, filings and audit support — so obligations are met without pulling your team off the business.
How we help
Readiness, then continuity.
Pre-licence readiness
We assess your readiness, close documentation and control gaps, and prepare you for the regulator's questions before you file.
Reporting & governance
Once live, we run your reporting calendar, board and governance rhythm and regulatory filings on time.
Ongoing compliance
We act as your outsourced compliance function — audits, updates and regulator liaison — so nothing slips after go-live.
FAQ
Support questions.
What is a pre-licence readiness review?
A structured check of your documentation, controls and structure against the regulator's expectations — so gaps are fixed before you file, not after a rejection.
Can you be our outsourced compliance function?
Yes. Many clients retain us post-licence to run reporting, governance and regulator liaison so their team stays focused on the business.
Do you support audits and inspections?
We prepare you for regulatory audits and inspections and support you through them, with the evidence and responses ready.
Is this only for KOLL-licensed clients?
No. We take on firms that were licensed elsewhere and need dependable ongoing compliance support.
The licence is the start of the obligation
Firms plan meticulously for authorisation and then treat day one as the finish line. Supervisors do not. The commitments in your application become things you are expected to evidence, on a cycle, indefinitely.
Before you apply: readiness, honestly assessed
A readiness review is worth more than an optimistic submission. We assess whether your model actually fits the regime you are targeting, whether your controlled-role candidates will pass assessment, whether the substance arrangements are real, and whether the capital position holds under the authority's own assumptions rather than your base case. Where something will not survive contact with a regulator, it is far cheaper to find out now.
Between in-principle approval and authorisation
This is the phase firms consistently underestimate. In-principle approval comes with conditions, and every one has to be satisfied before the licence is granted — premises secured, systems deployed and tested, policies operationalised rather than merely written, staff appointed and inducted, capital deposited and evidenced. We project-manage the build-out so conditions close in the right order rather than stalling on the one dependency nobody owned.
After authorisation: what continues
- Periodic regulatory returns and prudential reporting on the authority's cycle
- AML programme operation: screening, monitoring, alert handling and suspicious-activity reporting
- Compliance monitoring against a plan, with findings tracked to closure
- Risk assessment refreshed as the business, products or customer base change
- Notifications: material changes, controlled-role departures, incidents and breaches
- Policy review and version control, so the documents match how the firm actually operates
- Preparation for thematic reviews, inspections and information requests
- Variation of permission when the business moves beyond what you were licensed to do
Outsourced compliance, or support for your own team
Some firms need a compliance function they do not yet have the scale to hire. Others have a compliance officer who needs technical depth behind them. We work both ways — and because the RegTech and the security controls sit with the same group, the obligations do not get handed between vendors who each assume someone else owns them.
Reporting cycles, notification triggers and thresholds are set by each authority and change over time. We confirm the current position against the official framework for your licence. See regulatory and compliance advisory for the authorisation work that precedes this.
Beginning, not finish line
Stay ready, stay compliant.
Tell us where you are — pre-application or already licensed. In one confidential call we'll map what you need and the exact next steps.