Advance Assurance Application for EIS and SEIS
This PDF file contains the advance assurance application form for the Enterprise Investment Scheme (EIS) and the Seed Enterprise Investment Scheme (SEIS). It outlines essential requirements for companies intending to issue shares and seek tax relief. Complete instructions and necessary documents are also included to facilitate the application process.
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How do I fill this out?
To fill out this form, begin by gathering your company details and necessary documents. Ensure you provide accurate information as any inaccuracies could impact your application. Follow the structured format provided in the form to ensure completeness.

How to fill out the Advance Assurance Application for EIS and SEIS?
1
Gather all required documents including latest accounts.
2
Provide details about your company including registration number and incorporation date.
3
Declare the amount you intend to raise and how it will be utilized.
4
Complete all necessary sections of the form carefully.
5
Submit the form to the appropriate HMRC office as instructed.
Who needs the Advance Assurance Application for EIS and SEIS?
1
Startups seeking funding through EIS or SEIS.
2
Small businesses aiming for tax relief on investor shares.
3
Investors requiring assurance about company compliance.
4
Financial advisors assisting clients with investment schemes.
5
Companies involved in innovation and growth looking to attract investors.
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What are the instructions for submitting this form?
To submit the advance assurance application form, ensure that all sections of the form are completed accurately, attaching any required documents such as your company accounts and memorandum. Send the completed application to the Small Company Enterprise Centre (SCEC) via the specified mailing address: SCEC and ESSU Team, South Wing, 1st Floor, Fitzroy House, Castle Meadow Road, Nottingham, NG2 1BD. Make sure to keep copies of everything submitted for your records.
What are the important dates for this form in 2024 and 2025?
Important dates for submitting this form in 2024 and 2025 revolve around the financial year and funding rounds. It is advisable to check HMRC announcements for specific dates associated with EIS and SEIS reliefs. Key submission deadlines will typically align with your company's funding schedule and HMRC processing timelines.

What is the purpose of this form?
The primary purpose of the advance assurance application is to provide companies with a formal indication of eligibility for the Enterprise Investment Scheme (EIS) or Seed Enterprise Investment Scheme (SEIS). This assurance helps companies in confidence-building as they seek investments and prepares them for the potential tax reliefs associated with share issuance. By applying for advance assurance, companies can ensure they meet the conditions set by HMRC for raising investments.

Tell me about this form and its components and fields line-by-line.

- 1. Company Name: The official name of the company applying for the assurance.
- 2. Company Registration Number: The unique registration number assigned to the company.
- 3. Date of Incorporation: The date when the company was officially incorporated.
- 4. Tax Reference Number: The tax reference number issued to the company.
- 5. Contact Information: Details on how HMRC can reach the company for clarifications.
What happens if I fail to submit this form?
If you fail to submit this form, your company may miss out on essential tax relief opportunities provided by the EIS and SEIS schemes. This could hinder your ability to raise funds effectively through share issuance. It is crucial to understand the implications of your actions regarding funding strategies.
- Missed Tax Relief: Failing to submit the form results in losing potential tax benefits for investors.
- Funding Delays: You may face delays in funding as investors require assurance before investing.
- Ineligibility for Future Applications: Not submitting may affect your eligibility for future assurance applications.
How do I know when to use this form?

- 1. Raising Capital: When seeking to raise capital through new share issues.
- 2. Investor Assurance: To provide assurance to potential investors about tax relief eligibility.
- 3. Compliance Purposes: To ensure the company meets eligibility requirements for government-backed schemes.
Frequently Asked Questions
How do I start filling out this form?
Begin by downloading the PDF and gathering all necessary company information and documents.
What documents do I need to submit along with the form?
You need to attach the latest company accounts, a business plan, and your Memorandum and Articles of Association.
Can I edit the PDF file before submitting?
Yes, you can edit the PDF using PrintFriendly’s editing tools before finalizing it for submission.
How long does the application process take?
The processing time varies, but you should expect it to take a few weeks.
Do I need to submit this form online?
You may submit this form physically to the appropriate HMRC office or follow any online submission criteria outlined by HMRC.
Who reviews my application?
An HMRC officer will review your application to ensure it meets the qualifying criteria.
What happens if my application is denied?
If denied, you will receive a detailed explanation and may have the opportunity to address any issues.
Can I save my progress when filling out the form?
You can edit your form freely, but currently, saving mid-progress is not available.
Is there a fee to submit this application?
There are no fees for submitting the advance assurance application.
What should I do if I make an error after submitting?
If you notice an error after submission, contact HMRC directly to discuss potential next steps.
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