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COLP & HOLP Authorisation Rules

 COLP and HOLP Authorisation - Suitability Test

The application process for authorisation as one of the Compliance Officers for a Solicitor's Practice or Authorised bodies may have been delayed by the SRA, but the date that the roles take effect from hasn't been, it will still be the 31st of October 2012. This includes not only the COLP/HOLP roles, but also the COFA/HOFA roles

For anyone who may be their firm's candidate for a role, they will have to undergo a suitability test. Part of this test (Part 1 Basic Requirements) is the same as the test for anyone to be admitted as a solicitor for the COLP role, but there are additional tests, (Part 2 Additional Requirements) that must be satisfied as well.

We thought it may be useful for those considering the role to know what the additional requirements are;

Additional requirements to become authorised under the Authorisation Rules

(Extract from,

9.1 Under this test, when considering any application by an individual seeking to become an authorised role holder, all of the tests set out in Part 1 will apply in addition to this Part.

10: Additional requirements

10.1 Unless there are exceptional circumstances the SRA may refuse your application if:

 (a) you have been removed from the office of trustee for a charity by an order imposed by the Charities Act 1993;

(b) you have been removed and/or disqualified as a company director;

(c) any body corporate of which you are/were a manager or owner has been the subject of a winding up order, an administrative order or an administrative receivership, or has otherwise been wound up or put into administration in circumstances of insolvency;

(d)  you have a previous conviction which is now spent for a criminal offence relating to bankruptcy, IVAs or other circumstances of insolvency;

(e) you are a corporate person/entity subject to a relevant insolvency event defined in rule 1.2   of the Authorisation Rules;

(f) you are a corporate person/entity and other matters that call your fitness and propriety into question are disclosed or come to light;

(g)  you have committed an offence under the Companies Act 2006; and/or

(h)  we have evidence reflecting on the honesty and integrity of a person you are related to, affiliated with, or act together with where we have reason to believe that the person may have an influence over the way in which you will exercise your authorised role.

 Further information can be viewed at the web link above.

For cpm21 information on COLP courses, visit the following;