Existing firm applications

Updated 25 November 2019

Apply to change your compliance officers

What is this application for?

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.

Eligibility

Your firm and proposed individual may meet the deeming provision, check by looking at Rule 13.5 of the SRA Authorisation of Firms Rules.

You must confirm the following:

Deemed Compliance Officers Non Deemed Compliance Officers
  • the individual is a lawyer who is a manager of the firm
  • the firm has an annual turnover of no more than £600,000
  • the individual is not subject to a regulatory or disciplinary investigation, or adverse finding or decision of the SRA, the Tribunal or another regulatory body
  • to tell us about this deemed Compliance Officer you should use the "Deemed Compliance Officer notification form (FA6). If the criteria are not meet you will need to make a application to us using the "Individual approval application form (FA2).
  • the individual is not a compliance officer of any other authorised body

Annual turnover is greater than £600,000

For anyone else, you will need to apply.

Help with your application

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

How to apply

If you meet the criteria to be deemed to be fit and proper to be a Compliance Officer under rule 13.5 of the SRA Authorisation of Firm Rules complete the Deemed Compliance Officer notification form (FA6).

If you do not meet the criteria to be deemed fit and proper to be a Compliance Officer under rule 13.5 of the SRA Authorisation of Firms Rules should apply as follows:

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

Forms

The forms are editable PDF's and must be completed electronically. You must save a copy of the form to your computer before you start to fill it in. These forms are not compatible with Mac computers.

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.

Timescales

We aim to make decisions within 30 days

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