Before you begin

This form will take around 20 minutes to complete.

For larger firms, this form may take 30 minutes or more to complete.

Why we’re asking you to complete this application

We are asking you to complete this application as we are required to collect certain information to comply with our role as a supervisory authority under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLRs).

This application is also the approval process for managers, beneficial owners and officers of independent legal professional firms (those law firms that work in the “regulated sector”) as required under the MLRs.

Please note, this is NOT an application process for those requiring authorisation as role holders under our rules. If there is a manager/owner/COLP/COFA missing from the list, you will need to follow our normal approvals process.

If you are trust or company service provider, by completing this application the information you give will be provided to HMRC to include in their register, satisfying the requirement on you to register under the MLRs.

Do I need to complete it?

Yes. You need to complete this application even if you are not subject to the MLRs.

This application is a mandatory notice under Outcomes 10.8 and 10.9 of the SRA Code of Conduct 2011 and for relevant persons, Regulation 66 of the MLRs.

This notice requires all those we regulate to provide a response to the questions in this application to us so that we can carry out our regulatory functions as a supervisory authority under the MLRs.

If you are subject to MLRs, and fail to comply with the notice, you will be guilty of an offence and liable on summary conviction in England and Wales, to imprisonment for a term not exceeding three months, to a fine or to both.

We will investigate those who fail to comply with this notice and complete the application and are able to take the necessary enforcement action against you for non-compliance regardless of whether you are subject to the MLRs."

What you’ll need

If you are subject to the MLRs;

  • you will need to have the details of your firm’s nominated officer, also known as the money laundering reporting officer (MLRO),
  • along with details of the individual who is responsible for compliance with the MLRs (if this is not the same person as your MLRO),
  • you will need details of your firm’s managers, beneficial owners and officers,
  • you will need to confirm if anyone included in the application form has any unspent criminal convictions listed in schedule 3 of the MLRs.

For anyone who is not a solicitor with a practising certificate, a registered foreign lawyer (RFL), registered European lawyer (REL) or an approved role holder, we will be in touch once you have submitted your response to arrange for a Disclosure and Barring Service (DBS) check to be completed.