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

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:

1. the reserved and non-reserved legal activities the business intends to offer; and
2. the owners and their qualifications (if applicable); and
3. the key personnel and their intended roles; and
4. general information about the business, such as the source of set up funds (e.g. corporate or personal funds/sources of work)
5. if there is a predecessor or parent business, or any third-party investors/beneficial owners.

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: Meeting with the CLC Licensing Team

Applicants will be invited to a virtual Microsoft Teams meeting with the CLC Licensing Team. It is essential that all Beneficial Owners, Officers and Managers (BOOMs), managers, and key personnel attend. During this meeting, we will identify the necessary authorisations and licences required for each individual.

We will also assess the financial and regulatory viability and sustainability of the proposed business.

Additionally, we will explain the following documents and their importance in the application process together along with what we expect from the proposed business:

1. Sources and Evidence of Investment and Financing
2. Practice Application Supporting Synopsis
3. Organisational Chart
4. Transaction and Financial Forecast
5. Policies and Procedures

Step 3: Professional Indemnity Insurance (PII)

Before requesting a CLC Practice Application Form, obtain a PII quotation from an insurer that is a signatory to the CLC Participating Insurers Agreement. Multiple quotes are encouraged.

All CLC-regulated practices must maintain PII to cover civil liabilities. The current framework includes:

• Minimum cover of £2 million per claim
• Six years’ run-off cover at no additional cost upon closure

Please Note: : The absence of any current and valid quote for PII is a material omission and as a result the CLC will treat the practice application as incomplete. 

Step 4: Submit Application Forms

All applications must be submitted via DocuSign. Related applications (e.g., for individuals) must be submitted simultaneously with the practice application.

DocuSign will email applicants a unique link from dse@eumail.docusign.net. The link expires after 28 days. If all applications are not submitted within this period, the practice application will be treated as withdrawn.

Step 5: Completeness Review

A preliminary completeness review will be conducted on individual applications, followed by a review of the practice application.

The CLC Licensing Team will provide the findings of the review of the practice application to the practice application contact.

Administration and screening fees will be invoiced upon receipt of a complete application. All fees are payable within 10 working days of the invoice date and are non-refundable.

Step 6: Determination of Application Acceptance

We will contact the practice application contact to confirm whether the practice application has been accepted.

Processing Times begin from the date an application is accepted:

• Individual applications: within 42 days
• Non-Complex practice applications: within 90 days

Step 7: Screening

All applicants undergo a Fit and Proper Person screening by Giant Screening (our third-party provider), including:

• DBS check
• ID&V documentation

• Facial recognition verification

Declaration of Adverse Information:
Applicants are required to disclose all adverse information, including events that are satisfied or spent, and must provide supporting documentation for each disclosure. Failure to provide substantiating evidence for any declared adverse matter—regardless of whether it has been satisfied or spent—will be regarded as a material omission. Applicants should ensure that any necessary documentation, including that which may need to be obtained from third parties, is secured prior to submitting their application.

Step 8: Substantive Application Review

The following areas will be reviewed:

1. Ownership, Governance, and Key Personnel
2. Operating Policies and Procedures (desktop review by a CLC Inspector)
3. Financial Viability and Forecasts

Key focus areas include:

• Financial information
• The Practice Application Supporting Synopsis
• Compliance of Policies and Procedures
• Compliance and Regulatory Intelligence
• Fit and proper assessments

• Professional Status, Experience and Skills of Managers and Key Personnel

Step 9: Licensing Decision

The CLC Licensing Team will advise applicants of our decision via email.

Applicants will be notified of one of the following decisions:

• Approved
• Minded to Approve
• Minded to Refuse
• Refused

If approved, applicants have three months from the date of the decision to complete all post-approval steps, unless a deferred licence date was agreed due to restrictive covenants.

If refused, the CLC will inform applicants of the grounds and allow for representations or additional documentation within one month of the date of the notification. Additional requirements may be imposed to ensure regulatory compliance.

How to Appeal

Step 10: Annual Fees

Licences will only be issued after receipt of the Annual Regulatory Fee.

Key points:

• Licence fees are calculated from the first day of the month the application is approved
• Pro-rata licence fees are non-refundable and non-changeable
• Fees must be paid by 31 October of the licensing year
• Licences are issued in the applicant’s legal name (as per passport)

Deferred licence issue requests must be submitted with the application.

Step 11: Post Approval Process

Final steps before licence issuance:

1. Ask your PII broker to confirm in writing:
   • The turnover figure used to calculate the premium
   • That the premium has been paid or finance arranged
   • Provide the certificate of insurance (expiry date: 30 June)
2. Pay upfront portion of Annual Regulatory Fee and Compensation Fund contributions
3. Complete Direct Debit Mandate for the remaining balance
4. Submit branding and marketing materials (letterheads, email footers)
5. Sign Cooperation Inspection Agreement and final declarations
6. Install and activate the CLC Secure Badge on the practice website

Guidance Notes