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.
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|
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.
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.
Send your application form to the email address on the form, along with supporting documents.
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.
We aim to make decisions within 30 days
The nominated Compliance Officer must not take up the role until they have been approved.