Authorisation application packs
There are several different types of authorisation application pack. Which one you use depends on the type of business you plan to carry on and whether you are applying to change the type of legal entity you intend trading through.
Please use the table below to identify which authorisation application pack to use.
| Name of pack | Who should use it |
|---|---|
| Retail Intermediaries Build your own application pack |
All retail firms wishing to carry on: • investment and/or • home finance business and/or • non-investment insurance contracts (commonly referred to as general insurance). |
| Other firms Build your own application pack |
Firms who consider themselves to be: |
| Change of legal status application pack | An existing authorised firm wishing to change its legal status only. This pack enables the existing authorised firm to cancel its permission at the same time as the applicant applies for authorisation. |
| Credit union application pack | We recognise the volunteer nature of credit union personnel and the very limited nature of the range of activities undertaken - so those applicants wishing to be authorised as a credit union should apply using this pack. This includes the registration element of the process. |
Obtaining a pack
If you are using 'build your own application pack', you will download the forms directly from that web page. For all other forms, downloadable versions can be obtained by following the links from the table to the appropriate authorisation application pack's web page.
Paper versions of the Change of Legal Status application pack and the Credit Union application pack are available by contacting the Publications helpline on 0845 608 2372.
| Name of controller form | Who should use it |
|---|---|
| Standard Notification Form [DOC] | A controller Firm or individual who is either: • Already a controller of an FSA authorised firm; • An FSA authorised firm; or • An FSA authorised individual |
| Corporate controllers form [DOC] | A firm that is either a limited company or a limited liability partnership |
| Partnership controllers form [DOC] | A firm that is a partnership |
| Individual controllers form [DOC] | An individual |
| Trust controllers form [DOC] | A controller that is a trust |
| Fund manager form [DOC] | A fund manager who is acquiring no more than 20% of a firm's share capital or voting rights in no more than an investment capacity. |