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Evidence library

Licence application evidence library

Turn broad licence application requirements into concrete workstreams, documents, red flags, and source-linked preparation steps before adviser review.

People and competence evidence for licence applications

How to prepare key-person, representative, responsible officer, SMF, IAR, responsible manager, adviser, and supervisor evidence before a licence application.

CVs and employment history.Exam, qualification, CPD, or competence evidence.Role descriptions and authority matrix.
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Ownership and controller evidence for licence applications

How to prepare shareholder, controller, group structure, source-of-funds, and beneficial ownership evidence for financial services authorisation.

Group chart and ownership table.Shareholder register and controller biographies.Source-of-funds and funding-route memo.
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Governance and accountability evidence for licence applications

How to show board oversight, senior responsibility, committees, escalation, policies, and accountability for the regulated business.

Organisation chart and committee terms.Board approvals and delegated authority matrix.Senior responsibility or accountability map.
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Capital and financial resources evidence for licence applications

How to prepare regulatory capital, funding, liquidity, forecast, runway, and financial-resources evidence for a securities licence application.

Capital calculation and financial resources memo.Bank statements or funding evidence.Three-year forecast and stress case.
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AML/CFT and financial crime evidence for licence applications

How to prepare financial crime, AML/CFT, sanctions, customer due diligence, suspicious activity, and monitoring evidence for a regulated firm.

AML/CFT risk assessment.Customer due diligence and enhanced due diligence procedures.Sanctions and politically exposed person screening workflow.
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Compliance framework evidence for licence applications

How to prepare compliance manuals, monitoring plans, conflicts, disclosures, training, breaches, and adviser-ready controls evidence.

Compliance manual and monitoring plan.Conflicts, gifts, personal account dealing, and disclosure policies.Training calendar and attestation process.
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Custody and client asset evidence for licence applications

How to prepare custody, client money, safeguarding, qualified custodian, CASS, segregation, asset-control, and client-asset trigger evidence.

Custody/client asset memo.Client money and asset flow diagram.Custodian due diligence and agreements.
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Outsourcing and vendor-control evidence for licence applications

How to prepare outsourcing registers, due diligence, service levels, oversight, exit plans, and material vendor evidence for regulated financial services businesses.

Outsourcing and vendor register.Vendor due diligence files.Service level agreements and contract summaries.
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Cyber and technology evidence for licence applications

How to prepare technology architecture, access controls, cyber resilience, incident response, business continuity, data protection, and platform-control evidence.

Technology architecture and data flow note.Access control and privileged-user process.Cybersecurity and incident response plan.
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Complaints and conduct evidence for licence applications

How to prepare complaints, client communications, conduct risk, root-cause, escalation, disclosures, and remediation evidence for regulated firms.

Complaints handling policy.Complaint register template.Escalation and root-cause process.
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Regulatory reporting evidence for licence applications

How to prepare reporting calendars, filings, register updates, financial returns, annual reviews, notifications, and responsible-owner evidence.

Regulatory reporting calendar.Filing owner list.Notification and change-event matrix.
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Financial forecast evidence for licence applications

How to prepare business-plan assumptions, revenue, cost, headcount, regulatory budget, stress case, runway, and financial forecast evidence.

Three-year forecast.Revenue assumption memo.Headcount and vendor cost plan.
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Wind-down and exit-planning evidence for licence applications

How to prepare wind-down, client transfer, asset protection, records, vendor exit, complaint handling, and orderly cessation evidence.

Wind-down plan.Client and asset transfer steps.Records retention and access plan.
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