SM&CR, APER, IDD and other people compliance management and certification
| Apply? | Function | Description | UK Core | Enhanced |
|---|
Select the Controlled Functions held by this Approved Person under the APER regime.
| Apply? | Function | Description |
|---|
| 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).
| Edit | SM Function | Description | Effective Date |
|---|---|---|---|
| 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 |
|---|
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? |
|---|
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.
Questions relating to criminal convictions, cautions, and ongoing criminal investigations.
| Ref | Question | Yes | No |
|---|
Questions relating to judgement debts, CCJs, bankruptcy, and civil litigation.
| Ref | Question | Yes | No |
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Questions relating to disciplinary proceedings, dismissals, and complaints.
| Ref | Question | Yes | No |
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Questions relating to regulatory investigations, authorisations, and disciplinary actions by regulatory bodies.
| Ref | Question | Yes | No |
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Conflicts of interest, other relevant information, and criminal records check confirmation.
| Ref | Question | Yes | No |
|---|
FCA Form A - Section 5 Fitness and Propriety Assessment
Green = All "No" responses | Amber = Has "Yes" responses requiring review | Red = Incomplete
Track completion status of required due diligence documents for this individual.
| Document | Status | File |
|---|
| Activity Name | Type | Hours | Date | Comments | Action |
|---|
Structured CPD: Formal learning activities such as courses, webinars, conferences, and examinations.
Unstructured CPD: Informal learning such as reading articles, on-the-job training, and self-study.