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Annual Fitness & Propriety Assessment 2023
for Certification Staff



Please answer the questions below.
If the answer to any of the questions is in red you must provide details where
indicated at the end of the form.
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Required
1.Name:Single line text.

2.Job TitleSingle line text.

3.Do you understand how the Individual Conduct Rules listed below apply to your
job role and commit to discharge your responsibilities professionally?Single
choice.

You must act with integrity.

You must act with due skill, care and diligence.

You must be open and cooperative with the FCA, the PRA and other regulators.

You must pay due regard to the interests of customers and treat them fairly.

You must observe proper standards of market conduct.

Yes
No
4.SENIOR MANAGERS (SMF numbers) only. 
Do you understand that you must take reasonable steps:Single choice.

SC1 to ensure that the business of the firm for which you are responsible is
controlled effectively; 

SC2 to ensure that the business of the firm for which you are responsible
complies with the relevant requirements and standards of the regulatory system;

SC3 to ensure that any delegation of your responsibilities is to an appropriate
person and that you oversee the discharge of the delegated responsibility
effectively; and that

SC4 You must disclose appropriately any information of which the FCA or PRA
would reasonably expect notice?

Yes
No
n/a
5.Since last completing this form, have you been convicted of any criminal
offence? Single choice.
For UK residents this must include (where provided for by the Rehabilitation
Exceptions Orders to the Rehabilitation of Offenders Act 1974 or the
Rehabilitation of Offenders (Northern Ireland) Order 1978) any spent
convictions. 

Yes
No
6.Since last completing this form, have you been the subject of any adverse
finding or settlement in civil proceedings in connection with investment or
other financial business, misconduct, fraud or the formation or management of a
body corporate?Single choice.
Yes
No
7.Since last completing this form, have you been the subject of, or interviewed
in the course of, any existing or previous investigation or disciplinary
proceedings, by the appropriate regulator, by other regulatory authorities
(including a previous regulator), clearing houses and exchanges, professional
bodies, or government bodies or agencies?Single choice.
Yes
No
8.Are you currently the subject of any proceedings of a criminal nature, or been
notified of any potential proceedings or of any investigation which might lead
to those proceedings?Single choice.
Yes
No
9.Since last completing this form, have you been a director, partner, or
concerned in the management, of a business that has gone into insolvency,
liquidation or administration while you have been connected with that
organisation or within one year of that connection other than in connection with
your current role?Single choice.
Yes
No
10.Since last completing this form, have you, or any business with which you
have been involved, been investigated, disciplined, censured or suspended or
criticised by a regulatory or professional body, a court or Tribunal, whether
publicly or privately?Single choice.
Yes
No
11.Since last completing this form, have you been dismissed from a position of
trust, fiduciary appointment or similar?Single choice.
Yes
No
12.Since last completing this form, have you been disqualified from acting as a
director or disqualified from acting in any managerial capacity?Single choice.
Yes
No
13.Since last completing this form, have you been the subject of any judgment
debt or award, in the United Kingdom or elsewhere, that remains outstanding or
was not satisfied within a reasonable period?Single choice.
Yes
No
14.Since last completing this form, have you, in the United Kingdom or
elsewhere:Single choice.
a. made any arrangements with your creditors;
b. filed for bankruptcy;
c. had a bankruptcy petition served on you;
d. been adjudged bankrupt;
e. been the subject of a bankruptcy restrictions order (including an interim
order);
f. offered a bankruptcy restrictions undertaking;
g. had assets sequestrated; or
h. been involved in proceedings relating to any of these?
Yes
No
15.In your view, do you have adequate training to be competent in your job
role? Single choice.
Yes
No
16.In your view, do you have adequate time to perform your job role and meet the
responsibilities associated with that role? Single choice.
Yes
No
17.Have you satisfied any fitness & propriety related training detailed in your
last T&C assessment that was identified as required for fitness & propriety
certification? If none identified, please answer n/a  Single choice.
Yes
No
n/a
18.Financial ConcernsSingle choice.
I do not have any material relevant personal financial concerns to discuss with
Senior Management/my Line Manager.
I have discussed any material relevant personal financial concerns I might have
with Senior Management/my Line Manager.
19.Is there anything you have not previously disclosed relating to your Fitness
& Propriety? In particular, based on your self-assessment, have you been
responsible for, or involved in, anything that has or could bring you, the firm
or the industry into disrepute? Single choice.
Yes
No
20.Explanation of any red responses.  Please include the question number/s being
referred to.Multi Line Text.

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