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Here you’ll find links to each of the different licensing application guides and key forms. We’ll update this page and add additional content or forms as and when required.

Application guides:

Guides updated 20 June 2014

PART A: How do I apply for a licence – an overview

PART B1: How do I apply for licence to provide crowd funding services?

PART B2: How do I apply for a licence to provide peer-to-peer services?

PART B3: How do I apply for a MIS manager licence?

PART B4: How do I apply for a DIMS provider licence?

PART B5: How do I apply for a licence to issue derivatives licence?

PART B6: How do I apply for a licence to be an independent trustee?

Standard conditions

Standard conditions for crowd-funding services

Standard conditions for peer-to-peer lending services

Standard conditions for managed investment schemes

Standard conditions for discretionary investment management service (DIMS) services

Standard conditions for independent trustee licences (for individuals)

Standard conditions for derivatives issuers

Licensing declarations and certificates

For applicants

SD1.0  Certificate of compliance and authority to apply (applicant or their authorised person)

SD1.1  Declaration by current/proposed director of licence applicant

SD1.2  Declaration by current/proposed senior manager of licence applicant

SD1.3  Curriculum vitae of management team member of licence applicant

SD1.4  Declaration  by Independent trustee (individual) –  a combined certificate and declaration

For related bodies of the applicant

SD2.1  Declaration by executive director of related body to licence applicant

SD2.2  Declaration by senior manager of related body to licence applicant

For relevant parties to the applicant

SD3.1  Declaration by director of relevant party to licence applicant

SD3.2  Declaration by senior manager of relevant party to licence applicant

SD3.3  Declaration by individual relevant party to licence applicant (such as owner)