Our COLP/COFA has left our firm unexpectedly. What steps should we take?

You can apply for temporary emergency approval of a replacement compliance officer. You must immediately, and in any event, within seven days

  • notify the SRA;
  • designate another suitable individual to undertake the role;
  • apply for temporary approval. You should notify us by emailing authorisation, using the subject title 'Temporary approval application'.

You must state why the application for temporary emergency approval is necessary. 

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