Employee Declaration and Compliance Form | Mortgage Conduct of Business MCOB | Template for FCA Applications and Authorised Firms

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Employee Declaration

23.1 Compliance Declaration Form

The below declaration is to be completed by all staff after they have had an appropriate amount of time to read and digest the content of the Compliance Manual. This declaration is an important part of the regulatory requirement as you need to confirm that your staff have not only read but understand the contents of this document and their expectations towards the regulatory requirements and objectives of your firm.

Once signed, a copy of the declaration should be saved in the employee’s training file and in your compliance monitoring records.

Employee Name:        _____________________________              Date:   _______________

Position:                     _____________________________              Dept:   _______________

Line Manager:            _____________________________              Employee No:  ________

Declaration:

I confirm that I have read the contents of this Compliance Manual and that I have understood all aspects of its contents and the expectations placed on me by the company and by any regulators or governing bodies.

Employee Signature: ______________________

Print Name:                ______________________

Date:                           ______________________

Witnessed by:             __________________                        Print Name:    _____________________

Compliance Officer:   __________________                        Print Name:    _____________________