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Most Applications will follow the steps below. The CLC will discuss these steps with businesses in our meeting prior to the application stage.
Applicants should verify the types of business and services we regulate are the extent of the services they intend the proposed business to provide.
Step 1: An Expression of Interest
CLC New Practice Applicants
Applicants should email the Licensing Team at licensing@clc-uk.org outlining key information about the business you intend to set up, listing:
Switch/Hive Off Applicants
Applicants should email the Licensing Team on licensing@clc-uk.org outlining key information about the current business and the legal services intended to switch or hive off to CLC Regulation.
Step 2: Meet the CLC Licensing Team
Applicants are invited to attend a virtual Microsoft Teams Meeting with the CLC Licensing Team. It is important that BOOMs, Managers and Key Personnel attend this meeting because we will be discussing the investment and governance elements of your application, and the associated authorisations and licences required for any key personnel.
In this meeting we will cover:
Step 3: Professional Indemnity Insurance
Proposed CLC Regulated businesses must obtain a quotation for Professional Indemnity Insurance (PII) Cover from an Insurer which is a signatory to the CLC Participating Insurance Agreement. The CLC encourages firms to seek quotes from more than one insurer.
Professional Indemnity Insurance Arrangements
Step 4: Complete and Submit all Application Forms
All Applications are made though the online platform, DocuSign.
All related applications must be submitted simultaneously, attaching all relevant supporting information.
DocuSign will email applicants from dse@eumail.docusign.net with a unique link to access the digital application form and instructions on how to complete this.
After 28 days of the application form being sent should this not be submitted the link will expire. If the CLC has not received all associated applications within 28 days, it will treat the substantive practice application as withdrawn.
Please Note: Non-responsive applicants delay, and ultimately derail the practice application process. Please ensure all associated applicants are on notice to make their applications within 28 days of receiving the unique link from DocuSign.
Step 5: Completeness Review
A preliminary completeness review is carried out on all individual applications prior to the preliminary completeness review on the practice application.
At this stage in the process, we are looking to identify BOOMs, Managers, HoLP, HoFA, MLRO or CLC Licence Applications that cannot be accepted due to not meeting the standard eligibility criteria, or for having a material omission.
If none are found, the practice preliminary completeness review will be carried out.
Step 6: Screening
All licence applications are subject to Fit and Property Screening. This incurs a non-refundable screening fee. For more information regarding fees please visit our website here.
Giant Screening is the Third-Party Screening Agent used to carry out all our screening checks. Giant will contact applicants directly for DBS consent and ID&V documentation. Applicants are required to compete a facial recognition as part of the ID&V process.
Declare Adverse Information: Applicants must declare, and then substantiate the facts of any declared adverse information including satisfied and spent adverse events. The absence of documentation to substantiate a declared adverse event, and any satisfied or spent adverse event, will render an application incomplete. This may include obtaining documentation from third parties in advance of applying.
Step 7: Determining Application Acceptance
At this stage we are looking to identify any BOOM, Manager, HoLP, HoFA, MLRO or CLC Licence Applications that cannot be accepted due to the following reasons:
We will write to each applicant to advise them whether their application has been accepted.
When an application is accepted a non-refundable administration fee will be charged. For more information regarding fees please visit our website here.
Step 8: The Substantive Application Review
Practice Applications will be subjected to the following reviews:
The Application Assessment will focus on the below areas:
The CLC endeavours to process most individual applications within 42-days and non-complex Practice applications within 90-days. Individual applications submitted as part of a practice application (to be licensed as a CLC Recognised Body or as an ABS) will be considered and processed within the practice application timescale.
The CLC reserves the right to charge additional fees, up to 14 hours’ charges at £80.00 per hour on applications containing adverse findings.
Step 9: Licensing Decision
The CLC Licensing Team will advise the applicants of our decision by email.
Decision Outcomes include:
(i) refusal to grant
(ii) minded to refuse
(iii) minded to approve
(iv) approved, i.e. granted
For more information view the CLC Lawyer Licensing Framework.
If the application is refused, we will write to you to explain the basis of our refusal. You have the right to Appeal.
When approved we will set out the post approval steps necessary to realise the practical and legal arrangements necessary to issue the practice licence. This must be completed within three months of receiving our decision.
Please Note: This is unless it has been agreed at the outset that a deferred licence issue is required. This may be the case to accommodate restrictive covenants.
Refusing an Application: When minded to refuse the granting of a licence, the CLC will notify the Applicant of the grounds of its concerns and invite the applicant to make representations to address the concerns or to resubmit improved documentation within one month of the date of the notification.
Step 10: Annual Fees
When a CLC Licence is approved, i.e. granted, it will not be issued to the licensee until the Finance Team confirm to the Licensing Team receipt of payment for the appropriate Annual Regulatory Fees.
Step 11: Post Approval Process
If approved, Applicants will be required to complete the final steps before the licence can be generated and issued:
For more information please refer to the Guidance Notes below: