Application Procedure

Application Procedure

To authorise your entity, we need to understand your business and the systems you have in place to manage risk.

We will want you to provide information about your business and the processes and procedures you have in place. That will help us in considering your application for authorisation.

We will support you with a named relationship officer so you understand what is needed.

We will ask you to: 

  • Complete an application form. The form asks for details of your organisation structure, client base, practice management procedures, accounts management, and risk management.
  • Complete applications for key office holders in the practice.
  • Provide supporting documentation as set out in the application form to demonstrate the procedures you have in place.
  • Provide financial & accounts information to demonstrate your financial management. 
Our guidance on completing the form and the application process can be found in our Authorised Entity Handbook.

Assessment

Your application will initially be assessed on the basis of the information and the documentation provided. We will consider whether your application delivers the Principles in the CILEx Code of Conduct and we can authorise your practice into regulation based on documentary assessment.

Where we need to explore aspects of your application or seek further information, we may conduct a site visit to your entity. During the visit we may ask to look at your files, your processes and procedures and ask you questions about your legal practice. We will then carry out a further assessment of your application to consider whether we can authorise your entity into regulation. 

Regulatory Requirements

All our regulated entities will have to meet a number of requirements. They include:
  • Professional indemnity insurance cover in accordance with CILEx rules and through one of CILEx Regulation’ approved insurers;
  • Comply with the CILEx Code of Conduct and CILEx Accounts Rules, including submitting annual accountants reports;
  • Make an annual contribution to the compensation fund; and
  • Seek CILEx Regulation approval before making any changes to the regulatory arrangements or key personnel in the practice.

Next Step

Contact us for more information:

Phone: +44 (0)1234 845770
Email: info@cilexregulation.org.uk 

Authorised Entity Handbook

The handbook takes you through the application process for an organisation or sole practitioner that wishes to be authorised and regulated by us to provide reserved legal activities.

> Download the Authorised Entity Handbook

Authorised Entity Application Form

Use this form to apply for entity authorisation and regulation.

> Download the Entity Application Form