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.
|Individuals Form A and Statement of Responsibilities||✓|
|Forms possibly required (depending on your structure)|
|Corporate Controller Forms||✓|
|Trust Controller 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)||✓|
|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)||✓|
This should include the full range of products that your firm provides:
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.