Forms and Guidance

Application Forms

The Application Forms which need to be completed for CLC New or Switch/Hive Off Practice Applications depend on the nature of the intended investment, ownership and governance model. For straightforward applications we will provide you with all the forms after our introductory meeting.

Where there are more complex business arrangements we may phase the issue of the forms to help applicants manage the process. We will be able to determine the nature and type of application forms to be completed by the Owners and Managers after our meeting.

All Applications are made though the online platform, DocuSign. 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. 

Guidance Notes

Some standard guidance documents can be found below:

Guidance for CLC New Practice Applicants

Guidance for Switch and Hive Off Applicants

Guidance for Holding a Material Interest

Registered Manager Definition

Beneficial Owner, Officer, and Manager (BOOM) Definition

Anti-Money Laundering Toolkit

CLC’s Risk Agenda

AML Client and Matter Risk Assessments

Templates

Some mandatory templates can be found below:

AML Practice Wide Risk Assessments

Practice Application Supporting Synopsis

Essential Background Reading

Prospective Applicants should familiarise themselves with the CLC Regulatory Arrangements and Handbook to assist the drafting of their policies and procedures.

CLC Code of Conduct & Other Relevant Codes