Firms Registered Name
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Trading names (Any trading names which are used or intended to be used need to be registered with the FCA)
The type of business (private limited, public limited, sole trader, partnerships)
Companies House number
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What date did/will the Firm begin trading?
Registered Office Address
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Trading Address (If different from the registered office address)
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Telephone Number
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Email address
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Website address (If the website is not yet live could you please provide the address and the date it is expected to go live)
Key Contact Details
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(Name, Email, Phone)
Names of Firm Directors
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Names of Shareholders and % share
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Is there expected to be a change in shareholdings in the foreseeable future?
How many sales support staff are employed by the firm (including self employed contractors)
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Please include name / job role
How many advisers are within the firm? Both employed self employed?
Please include their full names
Accountant details (Where applicable)
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Firm Name, Individuals Name, Email, Phone, Address
What IT systems are used? Including for transaction recording, accounting systems and any other systems.
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Please include the System Name and when it became operational:
Is the Firm currently authorised by the FCA? If so, what is the FRN?
Has the Firm ever been authorised by the FSA/FCA?
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Are you currently registered with a Network as an appointed representative firm?
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If yes, what is your notice period?
Will the Approved Person be the contact for complaints? If not, please provide a name, email address and contact number for the complaints contact.
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Does the Firm intend to hold client money?
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Has the Firm ever been refused or have revoked any of the following by a financial services regulator or government body:
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Has the Firm, after completing an application, ever decided not to proceed with the application for:
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Is the Firm registered with Information Commissioners Office? If so, what is the Firm’s ICO registration number?
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What data security arrangements in place and how is data backed up?
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Are any functions outsourced?
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Has the firm or any of its advisers ever been removed from a lenders panel?
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What Permissions are you looking to request from the FCA?
Will you be conducting any second charge mortgage business?
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Will you be conducting any equity release business?
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If the Firm has been regulated, how many clients has it had in relation to its regulated activities?
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How many clients does the Firm expect to have 12 months after authorisation in respect to its regulated activities?
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What are your commission arrangements with finance providers?
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Does the Firm intend to charge the customer a processing/administration fee?
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Please detail your fee structure in full
How will business be sourced? (websites, third parties, lead generators, other)
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Face-to-face
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Telephone:
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Internet:
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Postal:
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Other:
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Is the Firm solvent?
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Are you aware of anything which may affect the firms ongoing solvency?
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Will the firm carry out unregulated activities?
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If the firm carries out unregulated activities:
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• What percentage of the business will this be?
• What amount (£) of the business will this be?
• Could you provide a brief description of these activities.
Fully paid ordinary shares
Share premium
Preference shares
Audited reserves
Verified interim net profits
Revaluation services
Subordinated loans
Fixed fees
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Percentage business fees
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Commissions
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Other
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• Who started the business?
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• Have any gaps in the market been identified?
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• What is the primary purpose of the business? What is the business model?
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• Who will run the business and their experience, skills and knowledge?
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• How is the business structured?
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• How is the business structure expected to develop?
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Please include any plans for recruitment
• The Approved Person – their experience, history, examples of being a fit and proper person
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• How will the business operate?
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• What are the plans for development?
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• What is the expected business turnover?
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• What types of product will be sold?
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• Sales process – will it be via the web, face to face, telephone?
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• Will you charge your customers a fee? If so, how much and when is it payable?
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How will the business be marketed?
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I confirm that the details provided above are correct and I am authorised to provide this information on behalf of the business.
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Name
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First Name
Last Name
Date DD/MM/YY
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By submitting this form, you acknowledge that you have read and understood the Rockstone Compliance Terms of Business and agree to be legally bound by them.
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The Terms of Business can be found via a link below the submit button.
