Senior Managers and Certification Regime (SMCR) | Templates for FCA Applications and Authorised Firms | FCA Handbook

Senior Managers and Certification Regime (SMCR) | Templates for FCA Applications and Authorised Firms | FCA Handbook2020-07-28T14:31:08+00:00
FCA and PRA licenses (authorisations) and ongoing compliance support, training, recruitment. Contact us 7 days a week, 8am-11pm. Free consultations. Phone / Whatsapp: +4478 3368 4449  Email: hirett.co.uk@gmail.com

Senior Management Function SMF Role Due Diligence Checklist Template | Assessment Questions| Auditor Notes and Declaration | Template for FCA Applications and Authorised Firms

1 SMF/CR Due Diligence Checklist AUDIT TYPE:                      INITIAL/ANNUAL/SPOT CHECK DATE:                                  ________________­ NAME OF AUDITOR:   _________________________ AUTHORISED BY:        ________________­­­­_________ 1. SMF/CF ROLES ASSESSMENT [...]

FIT Assessment Record Template and Assessor Declaration | Assessor and Employee Details | Fitness and Propriety | Checks and References | Training and Skills | Template for FCA Applications and Authorised Firms

Fitness and Propriety Assessment Record  Assessor & Employee DetailsASSESSOR NAME:  ASSESSMENTTYPE:First AssessmentNew RoleAnnual CertificationReassessment ASSESSOR ROLE:  ASSESSMENT DATE:  ASSESSMENT TIME:   NAME OF ASSESSED EMPLOYEE: CERTIFIED ROLE APPOINTED TO: DATE OF [...]

Load More Posts