Sponsor forms
Contact
UKLA Help Desk on + 44 (0)207 066 8333 and choose the relevant option
Sponsor forms
The forms
The Sponsor Firm Application Form (SF) requests details about a sponsor firm itself including details on its controls, its legal status and its overall experience.
The Sponsor Employee Application Form (SE) requests details of the experience of an employee that the sponsor firm is naming as ‘suitably experienced’ in line with the requirements of the Listing Rules. A separate form is needed for each employee.
When are the forms needed?
- Both the SF and SE forms need to be completed by a firm and submitted to Sponsor Supervision when it wishes to make an application to become a sponsor.
- The SE form needs to be completed by a firm when it wants to name one of its employees as a suitably experienced employee.
Who signs the forms?
The SF form needs to be signed by two senior members of the firm, one of whom should be from the firm's compliance function. To be a ‘senior’ member of the firm an individual should be of director or partner level within the firm.
The SE form needs to be signed by the employee on whose behalf the application is being made and by a member of the firm's compliance function.