1. Compliance
  2. Licensing and registration
  3. Licensing forms and resources
  4. Supervisors

Supervisors

Applicants applying for a new licence or replacing an expiring one must complete the following 3 forms:

1.  Application form (TRU1.1)

This form helps you start processing your application. It contains information about how to submit your application, the fee, and how to pay it.

2. Information check list and statutory declaration form (TRU2.1) 

This form contains:

  • a checklist of supporting information that you must submit with the application form 
  • an appendix of cover sheets to help us track the information you provide 
  • a list of all directors and senior managers who need to submit director/senior manager statutory declaration forms (DIR1.1) - see below.

3. Director/senior manager statutory declaration form (DIR1.1)

Every director and senior manager named in the information check list and statutory declaration form (see above) must separately complete one of these forms. Please refer to our Guidance note: Supervisor licensing for details of the application process and the information you must submit.

Assessment of the application

To issue a supervisor licence, we must be satisfied that the applicant is capable of effectively performing the functions of a supervisor, including meeting any conditions imposed on the licence.

We assess the application against the requirements set out in section 16 of the Financial Markets Supervisors Act 2011 and in the Financial Markets Supervisors Regulations 2014.

We will fully review all material submitted by applicants. This includes taking into account any information from our monitoring of the applicant where the applicant holds an expiring licence.

More information: