SEIS and EIS Advance Assurance Application Checklist

A step-by-step checklist for preparing an application to HMRC for advance assurance that a proposed SEIS or EIS investment is likely to qualify. It covers eligibility pre-checks, the documents HMRC expects, how to describe the risk to capital and use of funds, named investors, and what to do once assurance is received.

• Two to three months before you expect to close a SEIS or EIS round
• When investors have told you they need advance assurance before committing
• Before re-applying for a further round or a different scheme

• Work through Part A first – do not apply until each eligibility item is a “Yes”
• Build the document pack in Part B and track each item’s status
• Adapt the draft wording in Part C to your own business
• Submit through HMRC’s online advance assurance form and diary a chase date