We will acknowledge receipt of your application and, after an initial assessment, provide an indication of the timescale for completing the assessment and providing a decision on authorisation. If your application is assessed and declined, we will provide you with details of the appeals process.
Stage 1
1 - Getting started
Stage 2
2 - Who you need in your firm
Stage 3
3 - Compliance Manager
Stage 4
4 - Your application fee and other costs
Stage 5
5 - Your Business Plan and cashflow forecast
Stage 6
6 - Insurance, premises and case management
Stage 7
7 - Your policies and procedures - General
Stage 8
8 - AML, Data Protection, Risk Register and Business Continuity
Stage 9
9 - Client care information
Stage 10
10 - Having an online presence and being transparent on your services
Stage 11
11 - Complete the manager and entity forms
Stage 12
12 - Review and submit your application
