Retail intermediaries application
Contact
If you have any problems, please contact the Firm Contact Centre
Email:
Telephone:
0845 606 9966
(call rates may vary)
If you are applying for authorisation, then you must:
- Prepare and collect the supporting documents
- Build your application pack
- Fill in the forms in the application pack
- Sign the forms and return them to us by post with your cheque and the
required supporting documents.
The supporting documents you must have
Click on the links for further information about each document.
- Staff organisational chart;
- Business plan information; (not applicable to Connected Travel Insurance firms)
- Compliance procedures;
- Details of your professional advisers;
- An opening balance sheet;
- A forecast closing balance sheet after 12 months trading or first years trading;
- A monthly profit and loss account for the first years of trading;
- A monthly cashflow forecast;
- A copy of the latest annual accounts (if previously traded); and
- A Professional Indemnity Insurance quotation
There are further documents you must have depending on your legal status.
| If you are… | You must have |
|---|---|
| A sole trader | Details of your personal and business assets and liabilities |
| A partnership | A copy of your partnership agreement deeds Details of each partner's personal and business assets and liabilities |
| A limited liability partnership | A copy of your Limited liability partnership agreement Proof of capital (such as members' capital agreement) |
| A Limited Company | 88(2) form (Companies House Return showing allotment of shares) Articles of Association |
How to build your application pack
The forms you need to fill in depend upon the type of business you intend to carry on.
Your application pack consists of the forms you need and their notes.
To build your application pack:
- You will answer some questions about your business
- We will then create a web page for you with the forms and notes listed ready for you to download