Your firm needs to have suitable policies and procedures that govern its operation and ensure that it complies with our code of conduct and our other rules. We cannot authorise your firm without this information.
Your policies and procedures should match the size and structure of your firm and the services it provides. Think about how your firm may grow and what this could mean for your policies. For example, if you plan to employ staff in the first 6 months, it’s important to have a policy on recruitment and employees from the start.
Make sure the policies and procedures you submit have been specifically tailored to your firm.
Remember to consider the obligations of running a legal entity, such as how to comply with Companies House requirements. You must understand and comply with the law and regulations applicable to you.
We have provided some guidance on what policies may be required, although this should not be considered an exhaustive list.
Further information:
