CHANGE IN CONTROL (CIC).
A change in control (CIC) is a regulatory trigger point that can halt transactions, delay investment, or raise supervisory concerns if mishandled. We help you stay in control of the narrative – shaping how the FCA understands your transaction, addressing potential concerns before they arise, and positioning your application to reflect stability, credibility, and long-term regulatory confidence.
As your regulatory translator, we leverage our expertise to address potential objections early, ensuring your submission is not only accurate – but compelling.
CONTROL THE CHANGE.
When acquiring a regulated firm, restructuring ownership, or bringing in new investors, the FCA must be notified and approve the change before it takes effect (as stipulated in Part 12 of the Financial Services Markets Act). The notification is known as a change in control (or CIC). We work with you to manage the process – from assessing threshold triggers and drafting controller forms to preparing supporting documents that clearly set out ownership structures, funding sources, and post-transaction plans.
Rule the…
RATIONALE
Misjudging control thresholds can lead to regulatory breaches or needless filings. We work with you to assess and identify when a notification is required, allowing you to plan transaction timelines accordingly.
REGULATORY FRAMING
We leverage our regulatory prowess to craft a standout CIC submission that speaks directly to the FCA’s priorities. Your case is presented with clarity, confidence, and to resonate with regulators.
RESILIENCE
Our experts are on hand to empower you to respond quickly and strategically to FCA queries. This reduces the risk of objections and keeps your transaction on track, with minimal disruption to business or investors.
