Application Form

For Sole Traders, Registered Individuals and Controllers of an Appointed Representative Firm

Notes for completing this application

Please complete all sections of this form, read through all the questions and explanatory notes carefully before completing. Any amendments or alterations should be initialled.

If a question is not applicable, please answer N/A. Please use the Additional Information Sections towards the back of the application form to provide more detailed information when required.

This application is to be completed by individuals who meet one or more of the following:

  • An adviser (whether a Competent Adviser who has Competent Adviser Status or Trainee Adviser) joining an Appointed Representative firm of The Try Mortgage Network (TTMN) to conduct either mortgage and/or non-investment insurance business
  • A Firm Principal which would include Advising Directors, Non-advising Directors/Partners and Shareholders (holding 10% or more of shares) – these individuals are deemed to hold a significant influence in the Appointed Representative business (Controllers)

Any individual taking on an Approved Person role must be approved by the Financial Conduct Authority (FCA) for the relevant Controlled Function prior to receiving approval from the network (TTMN).

IMPORTANT: It is imperative that the applicant answers fully, honestly and accurately in all instances. Any information that has been omitted, is false, is inaccurate or misleading could lead to the application being declined or delayed. Deliberate non-disclosure of information is a serious offence.

Supporting Documents Required

  • Proof of Identity (Full in-date passport or Full in-date Driving Licence)
  • Proof of Residence (Utility Bill dated within last 3 months)
  • Last 3 months personal bank statements for each account you are party to (must include bank account details and account holder information)
  • Last 3 months business bank statements where applicable
  • Copies of your industry qualification certificates (e.g. CeMAP, MAQ)
  • Full itemised credit report dated within the last 6 weeks (the condensed credit report is not acceptable)
  • Copy of your Basic DBS check
  • For Controllers or Sole Traders only – a more detailed Standard DBS check which TTMN will apply for on your behalf
  • Copy of your proposed/current terms of employment/self-employment and/or contract from the AR firm you are joining

For Sole Traders only, the following additional documentation is required:

  • Latest Accountants Report and 3 years Accounts (Inland Revenue approved)
  • Latest FCA or equivalent report (if applicable)
  • Data Protection Certificate
  • Business Plan (TTMN template available if required)
  • 12-month Cashflow Forecast (TTMN template available if required)

SECTION 1: Personal Applicant Information

Your Details

Previous Name(s)

Former surnames, forenames or any other names known by

Home Address History

Please provide a full 3-year history

Current Address

Previous Address

Please use the Additional Information Section to supply further address information if required.

Contact Details for the Firm You Are Joining

This section should include the name of the firm and details of the individual we can contact about any information within this application pack.

Principal Working Location

Please confirm the location where you will be working from principally (this will be the address registered with the FCA):

If Firm's Office or Other, please provide full address details below:

Role Type

Please provide a copy of your terms of employment/contract if employed or self-employed.

Other Business Interests

Please state the names of every company/partnership or any other business interest in which you have been a director, partner, shareholder and/or controller. Please provide a copy of the latest accounts for each business listed (if there are none then please state NONE).

Business NameAddress inc. PostcodeRoleCompanies House No.Nature of BusinessStill Current?

Please use the Additional Information Section to supply any additional business interest information.

SECTION 2: Individual Qualifications and Permissions

Industry Qualifications

Please indicate the qualifications that you hold (we will need a copy of the certificate or similar evidence for each).

Experience

How long have you been advising on mortgages and insurance? If you have not advised in any particular area please note so, or if you refer business in that field please also note.

Product TypeHow long advising?Competent Adviser Status (Yes/No)Date CAS SecuredTrainee Only (Y/N/N/A)
Mortgages
Protection
General Insurance
Bridging
Commercial Lending
Second Charge
HPP Lending

Permissions and Controlled Functions

Please confirm the roles/controlled functions that you wish to apply for. More than one option may apply.

FCA Registration

Lender/Provider Panel Removal

SECTION 3: Employment History (Last 10 years)

Please provide a full 10-year history with the most recent employment shown first. Confirm whether you were employed, self-employed, or in full-time education. Where self-employed, provide information of your accountant or the company you were contracted to. For periods of unemployment, record dates and whether benefits were claimed. Use the Additional Information Section if you require further room.

Current / Most Recent Employment

Contact Details of Firm

Previous Employment (1)

Contact Details of Firm

Previous Employment (2)

Contact Details of Firm

SECTION 4: Assets and Liabilities

AssetsValue (£)Joint? (Y/N)
Residential Home Value
Investments
Bank Balance
TOTAL ASSETS
LiabilitiesValue (£)Joint? (Y/N)
Outstanding Mortgage
Credit Cards
Other Loans
TOTAL LIABILITIES

SECTION 5: Disclosures (Fitness & Propriety)

IMPORTANT: You must disclose spent convictions and cautions. Provide full details for any “Yes” answers in the Additional Information section, including dates, amounts and outcomes.

Regulatory

5.1 Have you ever been subject to a prohibition order under Section 56 of FSMA 2000, or refused, restricted in, or had suspended, any licence, authorisation, registration or membership granted by any regulatory body?

5.2 Have you ever had any licence, authorisation, registration, notification, membership or other permission granted by any regulatory body revoked, cancelled, withdrawn or restricted?

5.3 Have you ever been disciplined, censured, suspended, expelled, fined, or been the subject of any other disciplinary, investigation or intervention action by any such body?

5.4 Have you ever resigned whilst under investigation by or been required to resign from any such body?

5.5 Have you ever decided, after making an application for any licence, authorisation, registration, notification, membership or other permission, not to proceed with it?

5.6 Have you ever been the subject of any civil action which has resulted in a finding against you by a court?

5.7 Have you ever been found to have carried out activities, or been investigated for the possible carrying out of activities, for which authorisation or registration by the FCA/PRA or any other regulatory body is required without the necessary permissions?

5.8 Have you ever been found to have performed a controlled function, or been investigated for the possible performance of a controlled function, without the necessary permissions?

5.9 Have you ever been found to have failed to comply with an obligation under the Electronic Money Regulations 2011 or Payment Services Regulations 2009 to notify the FCA/PRA of the identity of a person acting in a position of influence?

5.10 In the role for which you are applying, are you aware of any business interests, employment obligations or any other circumstances which may conflict with the performance of the controlled function for which approval is now being sought?

5.11 Have you ever had any complaints registered against you whether upheld or not?

5.12 Have you ever been removed from a lender panel or lost an agency with a protection provider?

5.13 Have you ever been investigated or been involved in an investigation by an inspector appointed under companies or any other legislation, or required to produce documents to the Secretary of State or any other authority?

5.14 Have you ever been put into liquidation, wound up, ceased trading, had a receiver or administrator appointed or entered into any voluntary arrangement with creditors?

Criminal Proceedings

5.15 Have you ever been convicted of any offence involving fraud, misfeasance, negligence, wrongful trading, theft, false accounting, offences against the administration of public justice, serious tax offences or other dishonesty, or an offence relating to companies, building societies, insurance, banking or other financial services, insolvency, consumer credit, consumer protection, money laundering, money manipulation or insider dealing?

5.16 Are you the subject of any ongoing criminal proceedings in the UK or elsewhere?

5.17 Have you any convictions for any offences other than those listed in 5.15 which are not spent (excluding traffic offences unless these resulted in a ban from driving or involved driving without insurance)?

5.18 Have you ever been given a caution in relation to any criminal offence?

5.19 Have you been ordered to produce any documents in respect of any ongoing criminal investigation or been the subject of a search in respect of an ongoing criminal investigation?

5.20 Has any firm at which you hold or have held a position of influence been convicted of a criminal offence?

5.21 Has any firm at which you hold or have held a position of influence been charged, summonsed, investigated or prosecuted for any criminal offence?

5.22 Have you ever been the subject of any criminal proceeding which has not resulted in a conviction?

Civil Proceedings

5.23 Are you, or have you ever been, the subject of any civil proceedings, arbitration or litigation including proceedings that have led or may lead to a County Court Judgement (CCJ) or other judgement debts i.e. defaults (whether satisfied or not)?

5.24 Are you aware of any intention to begin such proceedings against you?

5.25 Are you, or have you ever been, the subject of any bankruptcy proceedings or proceedings for the sequestration of your estate?

5.26 Have you ever entered into a deed of arrangement or an individual voluntary arrangement (or in Scotland a trust deed) or other agreement in favour of your creditors, or are you doing so?

5.27 Do you or any undertaking under your management have any outstanding financial obligations arising from regulated activities which you have conducted in the past?

5.28 Have you been party to any civil proceedings which resulted in an order against you (other than a judgement debt or similar)? e.g. injunctions and employment tribunal proceedings.

5.29 Have you ever filed for your own bankruptcy or had a bankruptcy petition served on you?

5.30 Have you ever been adjudged bankrupt?

5.31 Have you ever been the subject of a bankruptcy restrictions order (including an interim bankruptcy order) or offered a bankruptcy restriction undertaking?

Has any firm at which you hold or have held a position of influence ever been:

5.32 Adjudged by a court civilly liable for any fraud, misfeasance, wrongful trading or other misconduct?

5.33 The subject of a judgement debt or an award against the firm (whether satisfied or not)?

5.34 In the past 12 months has any firm at which you currently hold or have previously held a position of influence been party to civil proceedings?

5.35 In the past 12 months has any firm at which you currently hold or have previously held a position of influence been aware of anyone’s intentions to bring about civil proceedings against them?

5.36 Has any company, partnership or unincorporated association of which you are or have been a controller, director, senior manager, partner or company secretary been put into liquidation, wound up, ceased trading, had a receiver or administrator appointed or entered into any voluntary arrangement with its creditors?

Business & Employment

5.37 Are you, or have you ever been, the subject of an investigation into allegations of misconduct or malpractice in connection with any business activity?

5.38 Have you ever been refused entry to, or been dismissed or requested to resign from any profession, vocation, office or employment or from any fiduciary office or position of trust, whether or not remunerated?

5.39 Have you ever been refused, restricted in, or had suspended, the right to carry on any trade, business or profession for which specific licence, authorisation, registration, membership or other permission is required?

5.40 Have you ever been disqualified by a court from acting as a director of a company or from acting in a management capacity or conducting the affairs of any company, partnership or unincorporated association?

5.41 Have you ever been the subject of any disciplinary proceedings whether or not the proceedings were founded against you?

5.42 Have you ever been the subject of any investigation which has led or might lead to disciplinary proceedings?

5.43 Have you ever been notified of any potential disciplinary proceedings that might be brought against you?

SECTION 6: Adviser/Controller/Sole Trader Declaration

Data Protection

For the purposes of complying with the Data Protection Act 2018, the personal information provided in this form will be used by Try Financial Limited in order to allow us to perform our responsibilities as a Network Principal as described in the Appointed Representative Contract, and to meet our legitimate interests. Try Mortgage Network is a trading style of Try Financial Limited. The processing will:

  • Enable us to discharge our obligations as defined by the Financial Services & Markets Act and other relevant legislation which can include passing on relevant information to any regulatory bodies as required such as the Financial Conduct Authority.
  • Allow us to provide our network services to you and keep you informed about regulatory changes, market updates, panel changes and other relevant information.
  • Enable us to provide access to relevant products and services offered by our panel providers such as insurers and lenders, and we will pass on limited information to those providers as may be required.

Personal data is stored for an indefinite period in order to continue to evidence that we have fulfilled our regulatory obligations and allow us to bring about or defend legal or regulatory challenges that may arise.

Try Financial Limited is a Data Controller registered with the Information Commissioner’s Office (ICO) with registration number ZA012887.

Contact: The Data Protection Officer, Try Financial Limited, Unit 4, The Sterling Complex, Farthing Road, Ipswich IP1 5AP. Tel: 0330 0562479. Email: barry@tryfinancial.co.uk

Declaration

By signing this declaration, I confirm that the information provided is correct and accurate to the best of my knowledge and that I have taken all reasonable steps to confirm that this is the case.

I am aware that if information provided proves to be untrue, misleading or misrepresented then this may result in Try Financial Limited declining the application and potentially terminating any agreement between the network and firm/individual.

I agree that Try Financial Limited may seek references and obtain further information from additional sources to validate the information provided.

I acknowledge that credit searches will be carried out and that the credit reference agencies may keep a record of Try Financial Limited.

I will notify Try Financial Limited immediately should there be a change to the information given in this application. I understand that a failure to do so may result in a delay in the processing of the application and may lead to enforcement action.

I understand that Try Financial Limited may decline the application and may decide to refuse to contract with me as an Appointed Representative at its sole discretion and without giving any reason.

I hereby agree to pay the appropriate application fee to Try Financial Limited and understand that in the event that the application is unsuccessful or is withdrawn, that this fee is wholly non-refundable.

Please note that the Appointed Representative Principal of the firm you are joining may be made aware of information obtained during referencing that would be deemed to be relevant in the decision to appoint an adviser.

Sign here
Signature

SECTION 7: Firm Declaration

This section is to be completed by the nominated person/owner of the firm you are joining. Where the adviser and owner are one and the same please still sign and date this section:

On behalf of the firm proposing this adviser join my/our company, I can confirm that the information supplied by the applicant is to the best of my knowledge true and accurate and that subject to satisfactory reference and induction we are prepared to appoint the individual to my/our firm.

Sign here
Signature

Please send the completed application form to Try Mortgage Network with the relevant supporting documents – for assistance please contact our Head Office team on 0330 056 2479.

SECTION 8: Additional Information

In the following pages please complete all the additional relevant information from the preceding questions, remembering to complete the particular section number and question number where relevant and with as much detail as possible including dates/amounts and outcomes as applicable.

In the event further room is required please complete additional information on a separate sheet(s).

SECTION 9: Sole Trader Only – Additional Questions

Complete this section only if applying as a Sole Trader.

Staff Details

Please provide details of the staff (include advisers, support and admin staff plus directors if they are providing advice) within the business and their role and advisory permissions. Please also confirm whether each individual is employed or self-employed.

Name of Staff MemberRole within FirmMortgage CAS*Mortgage TraineeProtection CAS*Protection Trainee

*CAS = Competent Adviser Status. Protection covers Life/CIC and/or General Insurance permissions. For additional staff please include details in the Additional Information section.

Data Protection

FCA Authorisation

If yes, please provide a copy of the report and/or any related correspondence with the application.

Professional Indemnity Insurance (PII)

All regulated firms need to have PII in place. Please confirm the following:

Complaints

Please provide details of the number of complaints and upheld complaints made against the firm in the last 24 months:

Business Planning / Volumes

As part of the application the firm will need to complete a business plan and cashflow forecast. Please ensure you complete the TTMN business plan (template provided) and TTMN cashflow and return with the application. If the firm is already trading please confirm the volumes of business achieved in the last 12 months:

Business TypeApplicationsCompletionsTotal Income (£)
Regulated Mortgages
Non-Regulated Mortgages
Non-Regulated (Financial Related) e.g. specialist lending referrals
Non-Regulated (Non-Financial) e.g. conveyancing, will referrals
Protection (Life/CIC)
General Insurance e.g. buildings/contents, income protection
Total Income from Broker Fees
Total Business Income (last 12 months)

Section 9b: Business Referencing

Please complete this section in full in order that we can apply for references.

Accountant’s Information

Accountant’s Address

Professional Reference

Referee’s Address

By clicking Submit, you confirm that the information provided is correct and accurate.

The Try Mortgage Network is a trading name of Try Financial Ltd, a private limited company registered in England and Wales under Company Number 08604242.

Registered office: Unit 4, The Sterling Complex, Farthing Road, Ipswich, IP1 5AP.

Try Financial Ltd is authorised and regulated by the Financial Conduct Authority under Firm Registration Number 679270.