You must complete the forms and supporting documents below before applying to us for authorisation.
Please use our online system Connect to download and submit these forms.
| Forms required | |
|---|---|
| Consumer Credit Authorisation Form | ✓ |
| Core Details | ✓ |
| Approved Persons Individuals Form A | ✓ |
| IT Assessment Questionnaire | ✓ |
| Forms possibly required (depending on your structure) | |
|---|---|
| Corporate Controller Forms | ✓ |
| Trust Controller Forms | ✓ |
| Individual Forms | ✓ |
| Disclosure of Significant Events Appendix | ✓ |
| Owners and Influencers Appendix | ✓ |
| Sole Trader's Appendix | ✓ |
| Supporting policies and procedures required | |
|---|---|
| Firm Organogram | ✓ |
| Approved Persons CVs | ✓ |
| List of Members of the Management Body including their Experience and Knowledge | ✓ |
| Checklist and Declaration Form | ✓ |
| Complaints Procedure and Policy | ✓ |
| Anti-Money Laundering/Financial Crime Policy | ✓ |
| Affordability Assessment | ✓ |
| Creditworthiness (including Lending Criteria) | ✓ |
| Nature and Detail of Third Party Firms That Are Used and Outsourcing Agreements | ✓ |
| Overview of Training | ✓ |
| Overview of Compliance Procedures and Compliance Monitoring Plan (CMP) | ✓ |
| Vulnerable Customer Policy | ✓ |
| TCF Policy | ✓ |
| Arrears and Default Policy and Procedures | ✓ |
| Arrears and Default Process | ✓ |
| Forbearance Policy | ✓ |
| Marketing Strategy: Financial Promotions | ✓ |
|
Financial projections:
|
✓ |
| Overview of Policy and Oversight of ARs (if applicable) | ✓ |