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) | ✓ |