Post-Authorisation Governance & Launch Support

The problem this solves

An authorisation arrives with conditions, with governance that exists on paper, with policies that have been approved but not yet operated, and with a launch plan that depends on all three. The period immediately afterwards is where the commitments made in the application either become real or quietly do not.

Who it is for

• Newly authorised firms working through the conditions attached to their authorisation.
• Firms whose governance was designed for the application and now has to run.
• Management teams standing up a first compliance and risk operating rhythm.
• Groups that want a defined handover point rather than an open-ended adviser relationship.

When this is not the right service

Each of these points to the engagement that fits better, so you are one click away from it.

• The authorisation has not been granted yet and the work is still application delivery. End-to-End Authorisation Programme
• The firm is authorised and is now extending into further markets. Branch, Passporting & Cross-Border Launch
• You need someone to hold a key function, act as compliance officer or money laundering reporting officer, sit on the management body or accept an outsourced accountable role. RenIQ does not take those roles.
• You need ongoing legal representation or reserved legal work. That is for appropriately qualified counsel.

What RenIQ needs from you

The engagement cannot start without these. They are listed so you can assess the effort before you commit.

• The authorisation as granted, including every condition, limitation and commitment attached to it.
• The governance structure as approved, and the people appointed to it.
• The policy and control set as submitted, with its approval dates.
• The launch plan, including product, technology and operational dependencies.
• Named owners for each condition and each control.
• Board and committee calendars for the first operating period.

What RenIQ does

• Building and maintaining a condition tracker covering every condition, limitation and commitment attached to the authorisation, with owners and dates.
• Mobilising governance so the approved structure actually meets, records decisions and produces the papers it is supposed to produce.
• Tracking policy and control implementation, distinguishing approved from operating.
• Establishing the management information and reporting cadence, internal and regulatory, so reporting obligations are calendared rather than remembered.
• Tracking the operational launch dependencies that the authorised business needs before it serves customers.
• Helping management establish an initial compliance and risk operating rhythm: the recurring activities, their owners and their evidence.
• Running a defined handover into business-as-usual governance, with an agreed end point.

What you get

• Authorisation-condition tracker with every condition, its owner, its evidence and its status.
• Governance mobilisation pack: meeting calendar, standing agendas, paper templates and a decision record.
• Policy and control implementation tracker, separating approved from in operation.
• Management information and reporting calendar covering internal reporting and regulatory reporting obligations.
• Operational launch dependency plan for the capability needed before customers are served.
• Initial compliance and risk operating rhythm: recurring activities, owners, frequency and the evidence each produces.
• A documented handover into business-as-usual governance, with the end point stated.

Who is responsible for what

Stated before the engagement starts, so there is no assumption left to discover halfway through.

Where qualified counsel comes in

How the work is run

The period is run from a single condition and control tracker with a fixed reporting cadence, and the handover is itself a deliverable: the trackers, the calendar and the operating rhythm are transferred to named owners inside the firm at an agreed point.

Every engagement runs through the same structured digital delivery method: one agreed plan, one decision log, one evidence register and one set of owned workstreams, maintained by RenIQ and handed over as documents. Digital tools support research, tracking and consistency. They do not replace professional judgement and are not offered to clients as a software platform.

Indicative sequence

Indicative only. The actual sequence is agreed per engagement, and no duration is committed here.

1. 1

   Condition capture

   Turn the authorisation, its conditions and the commitments made in the application into a tracked list with owners.

2. 2

   Governance mobilisation

   Get the approved structure meeting, deciding and recording, with standing agendas and papers.

3. 3

   Implementation tracking

   Track policies and controls from approved to operating, with evidence for each.

4. 4

   Reporting cadence

   Calendar internal and regulatory reporting, and establish the management information that supports it.

5. 5

   Handover

   Transfer the trackers, the calendar and the operating rhythm to named owners inside the firm at an agreed end point.

Your next step

Tell RenIQ when the authorisation was granted, what conditions came with it and how far the governance has been stood up. RenIQ will come back on the scope of support and where the handover point would sit.