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| Apply? | Function | Description | UK Core | Enhanced |
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| Apply? | Function | SYSC Reference |
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A Statement of Responsibilities must be submitted to the FCA for each Senior Manager (per SUP 10C, SYSC 4.5, SYSC 4.7).
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| Select SMF functions in the Details tab first | |||
| Ref | Prescribed Responsibility | Applies? | Shared? | Shared With |
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Overall responsibility means the ultimate responsibility (under the governing body) for managing or supervising that function, and primary and direct responsibility for briefing and reporting to the governing body about that function.
| Title | Further Details | Shared? | Shared With |
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Please set out anything else, not otherwise included, for which this senior manager is responsible as part of their FCA/PRA controlled function(s) role. For example, responsibilities outside the normal course of business such as those linked to high profile projects or initiatives.
| Title | Description | Apply? | Shared? |
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This certificate verifies that the individual named herein has been subjected to a detailed due diligence process, has satisfied the fitness and propriety assessment, and has been authorised to carry out the Certification Function specified.
This certification is valid for 12 months, beginning with the day it is issued.
The FCA will assess whether an individual has been open and honest in all their dealings with any regulatory body.
| Question | Response | Details (if Yes) |
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The FCA will assess whether an individual has the competence and capability to carry out their role.
| Question | Response | Details (if Yes) |
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The FCA will assess whether an individual's financial position may affect their fitness and propriety.
| Question | Response | Details (if Yes) |
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Record the outcome of the Fit & Proper assessment
Track completion status of required due diligence documents for this individual.
| Document | Status | Action |
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