Controller forms needed for authorisation

A ‘controller’ includes any person who holds a certain level of influence over a UK authorised firm, whether directly or indirectly, through ownership rights, such as shareholdings, voting rights or partnership interests. Find the right controller forms to be submitted along with your authorisation application.

Controller forms for non-MiFID firms

Check which type of controller you are Download the controller form

Limited company or limited liability partnership

Corporate controller form

Partnership

Partnership controller form

Individual

Individual controller form

Controller that is a trust

Trust controller form

Controller firm or individual who is already authorised or the controller of an authorised firm

Standard Notification Form

Controller forms for MiFID and Article 3 exempt firms

Check which type of controller you are Download the controller form

Legal persons or partnerships

Legal Persons or Partnerships Controller form (DOCX)

Natural persons

Natural Persons Controller form (DOCX)

Trust

Trust Controller form (DOCX)