Guidance for ICAEW members and non-members, including overseas individuals, who wish to apply to become authorised to undertake probate work on behalf of an accredited probate firm.
Applications by ICAEW members
If you are an ICAEW member or member of another accountancy body (as defined in Legal Services Regulation 1.6) and you want to apply to become an authorised individual for probate (including heads of legal practice) you need to be appropriately qualified. You will need to:
- attend a short course and pass an assessment. To enrol on this course and for the assessment please visit Mercia UK Certificate in Probate and Estate Administration. Once you have attended this course and passed the assessment, you can apply under Legal Services Regulation 4.1a.
Complete this form to apply under Legal Services Regulation 4.1a:
If you are an ICAEW member and you hold:
- The STEP Diploma for Accountants and Tax Practitioners (Trusts and Estates) by passing exams set under the qualification’s syllabuses of 2010 to 2022; and
- The STEP Diploma in Trusts and Estates (England and Wales) by passing exams set under the qualification's syllabuses of 2002 to 2022
Or have passed exams set under the STEP Diploma qualification’s syllabuses since 2022
- The STEP Advanced Certificate in Administration & Estates E&W and
- The STEP Advanced Certificate in Taxation and Estates E&W
You will need to apply under Legal Services Regulation 4.1c. You will not need to supply a copy of the syllabus or the document mapping the syllabus to the qualification criteria.
You must provide
- proof of your qualification, for example, a copy certificate/certificates;
- confirm on the application form that you have read and understood the information that relates to the Legal Services Act 2007 and how it applies to probate work; and
- how to deal appropriately with vulnerable clients.
Applications by non-ICAEW members
Non-ICAEW members, including overseas individuals, with qualifications awarded by other approved regulators
If you are not an ICAEW member, but you hold a qualification issued or recognised by another approved regulator that entitles you to undertake probate work (for example, a solicitor) you can apply to be appointed as an authorised individual under Legal Services Regulation 4.1b. You will need to provide us with evidence of your qualification.Complete this form to apply under Legal Services Regulation 4.1b:
Eligibility for non-ICAEW members (otherwise qualified)
If you are not eligible to apply to become an authorised individual under Legal Services Regulation 4.1a or 4.1b, you can apply under Legal Services Regulation 4.1c. As part of your application, you will need to provide us with evidence that you have attended a course and passed an assessment, provided by a recognised professional qualification body. The course and assessment will need to have covered at least the qualification criteria.Evidence of qualifications for applications under Legal Services Regulation 4.1c
To provide sufficient evidence, you must submit the following with your application form;
- a copy of the syllabus/learning outcomes that covered the relevant exam(s) that you passed;
- a document mapping the syllabus/learning outcomes to the qualification criteria to show where in the syllabus/learning outcomes these criteria were covered*; and
- proof of your relevant qualification. For example, a copy of certificate/certificates.
- If you apply for an exemption for a STEP qualification you must provide evidence of your current STEP membership.
*If you cannot supply evidence that the course covered the criteria: Information relating to The Legal Services Act 2007 and how it applies to probate work (1.1) and how to deal appropriately with vulnerable clients (2.8) please read the following information and confirm you have done so on your application form.
- Legal Services Act 2007 and how it applies to probate work
- how to deal appropriately with vulnerable clients.
You must be able to provide evidence mapping the syllabus/learning outcomes for all the other qualification criteria.
Evidence requirements for current STEP members
If you are a current member of STEP and hold:
- The STEP Diploma for Accountants and Tax Practitioners (Trusts and Estates) by passing exams set under the qualification’s syllabuses of 2010 to 2022; and
- The STEP Diploma in Trusts and Estates (England and Wales) by passing exams set under the qualification’s syllabuses of 2002 to 2022
Or have passed exams set under the STEP Diploma qualification’s syllabuses since 2022
- The STEP Advanced Certificate in Administration & Estates E&W and
- The STEP Advanced Certificate in Taxation and Estates E&W
You will need to apply under Legal Services Regulation 4.1c. You will not need to supply a copy of the syllabus or the document mapping the syllabus to the qualification criteria.
You must provide
- proof of your qualification, for example, a copy certificate/certificates;
- confirm on the application form that you have read and understood the information that relates to the Legal Services Act 2007 and how it applies to probate work; and
- how to deal appropriately with vulnerable clients.
If you have passed exams set under syllabuses dated earlier than the dates stipulated, you must comply fully with the evidence requirements above.
Complete this form to apply under Legal Services Regulation 4.1c:
Applicants who are unable to satisfy the qualification criteria - UK and overseas members
If you are unable to provide evidence that your qualification covers all the qualification criteria for Legal Services Regulation 4.1c, you must attend the Mercia UK Certificate in Probate and Estate Administration and pass the assessment. Once you have attended this course and passed the assessment, you can apply under Legal Services Regulation 4.1c. You will need to provide evidence with your application of your attendance on the course and of passing the assessment.
Complete this form to apply under Legal Services Regulation 4.1c
Probate authorised individual applications 2023
| UK individuals | Overseas individuals | Total |
|
| Number of applications approved for AI status | 59 | 0 | 59 |
| Number of applications received for AI status |
64 | 0 | 64 |
| Approved apps with Mercia qual |
52 | 0 | 52 |
| Approved apps with other quals |
12 | 0 | 12 |
(1) These are applications received in the calendar year.
(2) These are applications approved in the calendar year, regardless of whether the application was received in the same year.
What are my Continuing Professional Development (CPD) requirements as an authorised provider of probate services?
As an ICAEW member, or individual licensed by ICAEW for probate services, you must comply with the CPD requirements to ensure you remain up to date.