The Certification Regime FIT and proper assessment


Objectives To work through the regulations that govern a FIT and proper assessment under the Certification Regime and identify sources of evidence and appropriate procedures for sign off. Some test questions are set out towards the end of this post. Outcomes To understand the key components of a FIT and Proper check To be able to apply the general rules of the FCA as referred to within the FIT sourcebook To list sources of evidence that can be used to conduct a FIT and proper check To understand the structure of relevant sections of Long Form A and how it…

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About Author

I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well

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