Application Stages

Most applications follow the steps below. We will discuss this with you in the telephone call.

 

Step 1.  An introductory phone call. We will contact you to arrange an introductory phone call with an appropriate member of the Licensing Team to establish in principle whether the proposed investment, ownership, governance and business models can be licensed by the CLC.

Step 2. Come and meet us. Applicants are invited to attend a licensing meeting with the CLC Licensing Team. It’s important that owners and managers attend this meeting because we will be discussing the investment and governance elements of your application. In addition we will explain the CLC Licensing Outcomes and what we expect from you.

Step 3. Preparing the information for your application. In addition to the information set out in the Practice guidance documents, you should ensure that you have:

  • obtained a quotation for professional indemnity insurance cover (PII) from an Insurer which is a signatory to the CLC Participating Insurance Agreement (with the exception of SRA firms applying to switch to CLC regulation);
  • completed the investigations into any necessary business arrangements;
  •  compiled your replies to the CLC Licensing Outcomes; and
  •  prepared your Practice policy documents and procedures, including an Anti-Money Laundering Practice wide risk assessment. Applicants may find it useful to refer to the CLC’s Handbook and tool kits, such as AML, GDPR and Informed Choice when thinking about the types of policies that are appropriate to their Practice licence application.

Step 4. Submit your application together with all relevant supporting information, including any associated individual applications for owners and managers.

Step 5. We review your application. We will have agreed a submission timeline with you at the licensing meeting. Straightforward applications are reviewed and determined within the timescales stated in the licensing framework. More complex applications may take longer.

Step 6. The CLC Determination. The determination outcome is focused on an assessment of the ability of the owners, managers and key personnel to provide compliant legal services and manage the risks associated to the legal services.

Step 7. Informing you of the outcome of your application:  We will confirm the CLC’s decision by email.

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