All entities regulated by CILEx Regulation must have a person(s) who is authorised as a Compliance Manager. The Compliance Manager is responsible for managing the practice and accounts.

Compliance Manager Handbook

All entities regulated by CILEx Regulation must have a person(s) who is authorised as a Compliance Manager. The Compliance Manager is responsible for managing the practice and accounts.

Basic Principles for Applicant Firms

Approved manager application form (ABS)

Additional information form (ABS)

Client care letters full research document

CILEx Regulation - full research document relating to client care letters and risk management

Client care letters research - key principles

Client Care letters research - key principles

Approach to Authorisation

Diversity Report FIRMS 2023

Diversity Report Firms - 2025

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