Existing firm applications

Updated 17 August 2016

Apply to change your compliance officers

We authorise the following types of role holders for existing SRA authorised bodies:

  • Compliance Officer for Legal Practice (COLP)
  • Compliance Officer for Finance and Administration (COFA)
  • Related Entity COLP
  • Related Entity COFA

An individual can hold the role of COLP and/or COFA for multiple bodies firms who are related authorised bodies.

First, check whether the proposed individual is eligible:

  • COLP must be a lawyer and meet the eligibility criteria
  • COFA can be an employee or manager, and meet the eligibility criteria.

Your firm and proposed individual may be eligible to meet the deeming provision, check by looking at Rule 13.3 of the SRA Authorisation Rules 2011.

If you meet the deemed approved requirements you do not need to complete this application. You should notify us.

Information you need

Individuals

  • Personal details, work history, professional regulation, suitability to fulfil role
  • Certificates of Good Standing if regulated by another regulator
  • Confirmation that they have adequate levels of seniority to comply with the regulatory arrangements.

Help with your application

Contact us if you have any queries before you submit your application.

How to apply

Some individuals and entities do not need to be approved for the compliance officer roles. Check the deeming criteria in Rule 13.3 of the SRA Authorisation Rules 2011.

Individuals and entities who do not meet the deeming criteria should apply as follows:

  • you need to complete an individual approval form (FA2).
  • individuals who are not SRA-authorised need to register on mySRA before you send in any application.

Application forms

The application form is an editable PDF document. You need to fill it in electronically. You should save the form before you start completing it.

For help downloading or using the form see "How to use the form" in our Firm Authorisation guidance.

Form

Send your application form to the email address on the form, along with supporting documents.

Fee

There is no fee for this application.

What you can expect from us

We will acknowledge your application within one working day. We will let you know if your application is incomplete or ineligible.

Assessment

We may undertake validation of the information provided in the Suitability Test.

Timescales

We aim to make decisions within 30 days.

The nominated Compliance Officer must not take up the role until they have been approved.

Use www.sra.org.uk/fbacolpcofa to link to this page.