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Fitness and Propriety Assessment Record

Assessor & Employee Details
ASSESSOR NAME:  

ASSESSMENT

TYPE:
  • First Assessment
  • New Role
  • Annual Certification
  • Reassessment
ASSESSOR ROLE:
ASSESSMENT DATE:
ASSESSMENT TIME:
NAME OF ASSESSED EMPLOYEE:
CERTIFIED ROLE APPOINTED TO:
DATE OF APPOINTMENT TO ROLE:
Describe the SMF/CR role the employee is being assessed for:

 

 

 
Provide details of employees’ SMF/CF history (i.e. past certifications; issues raised; previous roles etc):
Has an SMF/CR Due Diligence Questionnaire been completed for this employee? (Note: Ensure that a copy of the due diligence questionnaire and any supporting documents are attached to the completed assessment record) YES/NO
Fitness & Propriety Assessment
Provide details (and supporting evidence) of how the employees’ honesty, integrity and reputation have been assessed and validated:

(Note: the below is a non-exhaustive list of assessments/evidence that can support this area: –

  • Pre-Employment Checks
  • Financial Services Register (if applicable)
  • Employment Reference
  • Character Reference(s)
  • Due Diligence Searches
  • Interview Notes
  • Performance Appraisal
  • Colleague Feedback
  • Media Profile
  • Publications
  • Self-declaration
  • Manager Appraisal/Feedback
  • Attendance Record
  • Achievements
  • Customer Feedback)
Provide details (and supporting evidence) of how the employees’ competence and capability have been assessed and validated:

(Note: the below is a non-exhaustive list of assessments/evidence that can support this area: –

  • Pre-Employment Checks
  • Employment Reference
  • Character Reference(s)
  • Application Form
  • Interview Notes
  • CV Information
  • Agency Profile(s)
  • Performance Appraisal
  • Self-declaration
  • Manager Appraisal/Feedback
  • Training/Workshops Attended
  • Qualifications Obtained
  • Education
  • Experience
  • Assessment Results
  • CPD)
  • Involvement in any relevant projects
Provide details (and supporting evidence) of how the employees’ financial soundness has been assessed and validated:

(Note: the below is a non-exhaustive list of assessments/evidence that can support this area: –

  • Pre-Employment Checks
  • Due Diligence Searches
  • Credit Reference Searches
  • CCJ’s, Bankruptcies and/or Insolvencies
  • Individual Insolvency Register Search
  • Adherence to Expenses Policy
  • Self-declaration
Checks & References Assessment
Have you obtained a reference from the employees’ previous employer(s)?

(Note: This is applicable to new starters only and references must cover the past 6 years of employment)

 YES/NO/NA
Have you obtained details from any previous employer(s) about the employees’ past conduct and fitness?

(Note: This is applicable to new starters only and should include information such as complaints; disciplinary action(s), breaches of the Conduct Rules, findings that the person was not fit and proper etc)

  

YES/NO/NA
Have you received a copy of the employees DBS certificate?

(Note: You should obtain an application form from the Disclosure and Barring Service (DBS) in England and Wales; Disclosure Scotland in Scotland or AccessNI in Wales and ask the candidate to complete and return the form. You should then send the completed application form to the DBS and ask the candidate to show you the certificate when they receive it from the DBS.)

 YES/NO
Have you checked the Financial Services Register? (if applicable)

(Note: Firms should check the Financial Services Register as part of their assessment of whether a candidate is fit and proper to verify the information contained in the application for approval where applicable to the employee/function type.)

 YES/NO/NA
Have you performed a credit reference search?

(Note: The search must be completed using a verified credit reference agency such as Experian or Equifax. For those in high-risk roles or who are subject to enhanced due diligence, a multi-agency check should be completed)

 YES/NO
Detail any other background or referencing checks carried out as applicable to the role and/or employee (i.e. Companies House; Clearing House; Sanctions; Personal Reference etc):

 

 

 

 
NOTE: Ensure you attach copies of all searches and references to the completed assessment record
Training & Skills Assessment
Detail any knowledge, experience, training, courses, sessions, workshops or skill attainment that is relevant to the role being appointed to:

 

 

 

 

 
Has the employee undergone and been assessed on training relating to the SM&CR Conduct Rules (tiers 1 and/or 2) and any compliance area that is relevant to their certified role (i.e. treating customers fairly, market conduct etc)? YES/NO
Assessor Declaration
Have you obtained supporting evidence for all searches, checks, references and information reported on this assessment? YES/NO
Are you satisfied that the employee passes the FIT criteria for performing an SMF/CR role? YES/NO
Have you imposed any limitations on the role/employee based on the outcome or findings of this assessment? YES/NO
Have you provided the employee with a ‘Certificate of Fitness & Propriety’? YES/NO
Please note any reasons (positive or negative) why you have [approved/rejected] the employee for the assessed SMF/CR role:

 

 

 
PRINT NAME:  
SIGNATURE:  
NEXT ASSESSMENT DATE: