Mortgage intermediaries and authorisation forms

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  
Authorisation Form 
Individuals Form A and Statement of Responsibilities


Forms possibly required (depending on your structure)  
Corporate Controller Forms
Trust Controller Forms
Individual Forms
Disclosure of Significant Events Appendix
Sole Trader's Appendix
Supporting policies and procedures required  
Organisational Structure Chart and Close links
Senior Managers' CVs
Copy of qualification certificate
Complaints Procedure and Policy
Renumeration policy (where you have employees) 
Compliance Monitoring Plan (CMP)
Vulnerable Customer Policy 
Overview of sales/advice process (covering full range of regulated home finance products, such as lifetime mortgages) 
Sample fact-find(s) 
Initial Disclosure Document and Terms of business 
Sample Suitability letter
Professional Indemnity Insurance proposal and quote
Financial Crime policy and procedures 
Overview of Policy and Oversight of Appointed Representatives (if applicable) 
Overview of your recruitment and due diligence of new staff and how you assess their Fitness & Propriety 
Overview of your Training & Competency (including CPD) 


Financial projections  

This should include the full range of products that your firm provides:

  • Opening Balance Sheet
  • Closing Balance Sheet
  • Forecast P&L
  • Forecast Cashflow
  • Financial Accounts (if applicable)

Use our Financial Analysis Template to do this:

Download and save this locally, and once completed attach the Excel document (not pdf) when submitting your application. Use the guidance and glossary tab to help you complete this. Include details of your fee structure on the template.

Regardless of the size and legal status of your firm, you must have financial forecasts in place as part of the assessment process. 

In some cases, your case officer might ask you for more financial information if they need clarification.