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
Stage 1: Getting started
Stage 2
Stage 2: Who do I need in my firm?
Stage 3
Stage 3: Compliance Manager – Practice Management
Stage 4
Stage 4: Compliance Manager – Accounts Management
Stage 5
Stage 5: Understanding application fees and future costs
Stage 6
Stage 6: Start to draft your Business Plan
Stage 7
Stage 7: Starting work on your cashflow forecast
Stage 8
Stage 8: PII, Case Management, Premises and Other Insurance
Stage 9
Stage 9: Drafting your policies and procedures – Part 1
Stage 10
Stage 10: Drafting your policies and procedures – Part 2
Stage 11
Stage 11: Client care information
Stage 12
Stage 12: Website, Social Media and Transparency
Stage 13
Stage 13: Finalising your Business Plan and Cashflow
Stage 14
Stage 14: Complete the Approved Manager application form
Stage 15
Stage 15: Complete the Compliance Manager application form
Stage 16
Stage 16: Complete the Authorised Entity application form
Stage 17
Stage 17: Final review, then submit your application and pay the fee
