Authorisation

Contact

If you have any problems, please contact our Contact Centre.

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Contact Centre

Telephone:

0845 606 9966 (call rates may vary)

Please answer the questions below so that you can tailor the application pack to your business. Once you have answered the questions you will be able to scroll down to access the forms you need.

If you are unsure how to answer a question click on the link in the question for more information.

Answer the following questions
Q: Do you meet the change of legal status criteria?

Yes No
Q: Will there be any changes to contact and standing data? Yes No
Q: Has the applicant firm previously traded? Yes No
Q: Are any appointed representatives involved with the applicant firm or the existing firm? Yes No

Q: What type of firm will the applicant be?

        Retail Firm Types

Financial Adviser only 
Home finance intermediary only 
Financial adviser and home finance intermediary 
Financial adviser and insurance intermediary 
Financial adviser, home finance and insurance intermediary 
Home finance and insurance intermediary 
Insurance intermediary only 

        Wholesale firm types

Securities and Futures (Complex)  
Securities and Futures (Non Complex) 
Investment manager firm 
Advisers and arrangers of wholesale funds 

 

  


Other relevant form

 
Other forms Who should use it

Change of legal status: Owners and Influences Appendix [DOC]

See section 3 of the change of legal status application form. You will need to complete this form if there are changes to controllers, close links, groups or EEA/Non EEA firms.


You may also need to complete and submit individual forms and controller forms.