Score application readiness

Score

Missing items

• - Entity structure and applicant legal entity
• - Regulatory business plan
• - Controllers, shareholders, and group chart
• - Responsible officers, senior managers, responsible managers, or representatives
• - Compliance policies and monitoring plan
• - AML/CFT or financial crime framework
• - Financial resources, capital, forecasts, and runway
• - Outsourcing and service-provider arrangements
• - Custody and client asset model
• - Cybersecurity and technology controls
• - Conflicts policy
• - Complaints handling process
• - Regulatory reporting calendar

Next steps

• - Close the highest-risk missing items before paying for a full application draft.
• - Match every policy to the exact activities, clients, and products in the business plan.
• - Collect key person evidence early; people gaps usually delay applications.