Apply to approve a firm

Firms can become an approved person if they are a corporation (eg LLP, Limited Company, PLC) that acts as either a director or partner within the governance structure of a firm.

Your firm must complete and submit a paper Form A (see Annex 4 in Section 10A of the Handbook), as this cannot be applied for using Connect. You should include:

  • a Section 5 (fitness and propriety) for 2 senior individuals responsible for running the corporation. You should send a separate Section 5 for each individual, and the details (full names, dates of birth and addresses) of these 2 individuals must be entered in Section 6 of Form A
  • the names of all directors or partners of the corporation
  • the place and date of incorporation
  • voting rights
  • copies of the Partnership Agreement if the corporation is a partnership
  • details of the governance and interaction the corporation has with your firm

Application fee

There is no application fee for approved persons.