THE CHALLENGE

Under SMCR, firms must annually certify that their Certified Persons remain fit and proper.

Without robust processes and documentation, you risk:

• FCA enforcement action

• Invalid certifications

• Audit failures

• Operational and reputational damage

THE SOLUTION

Our professionally crafted template pack gives you everything needed to implement a compliant, auditable certification process immediately.

WHAT'S INCLUDED:

✅ Annual Certification Assessment Form

Comprehensive 6-section form covering fitness assessment, propriety checks, Material Risk Taker status, and formal sign-off. Customisable per role.

✅ Fitness & Propriety Self-Declaration Questionnaire

23-question employee declaration covering criminal matters, regulatory history, financial soundness, and other FIT requirements.

✅ Manager Assessment Checklist

18-point evaluation covering knowledge, skills, training, performance, conduct, and integrity with recommendation section.

✅ Certification Register (Excel)

Multi-sheet tracker with automatic expiry calculations, RAG status dashboard, audit log, and certification function reference.

✅ Implementation Guide

Step-by-step instructions for deploying the templates and customising for your firm.

If you need more - scroll to bottom.

KEY FEATURES:

• Covers all 8 Certification Functions (CF1-CF8)

• Material Risk Taker considerations included

• FCA FIT 1, FIT 2 & SYSC 27 aligned

• Built-in audit trail functionality

• Fully editable Word & Excel formats

• Works for firms of all sizes

REGULATORY ALIGNMENT:

Templates are aligned to:

• FCA FIT 1 - Fit and Proper Test for Employees

• FCA FIT 2 - Main Assessment Criteria

• FCA SYSC 27 - Certification Regime

• FCA COCON - Conduct Rules

INSTANT DOWNLOAD

Purchase now and receive immediate access to all templates via download link.

Created by Compliance Consultant - Making Compliance Work

25+ years of FCA regulatory compliance expertise

https://complianceconsultant.org

Purchase now and receive immediate access to all templates via download link.

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