FCA Fit & Proper Requirements

Length: 1 page | Format: Editable PPT / PDF

One of the main features of the SMCR is ensuring firms assess the fitness and propriety of their employees.

This is a requirement for any staff member performing an SMF or certification function. The requirement also applies to Non-Executive Directors (NEDs) who are not Senior Managers (except in Limited Scope firms).

It is also important to note that once employees are in this type of role, firms should assess them on an ongoing basis.

Our FCA Fit & Proper Checklist will help you quickly identify the requirements for assessing if staff are fit and proper for their role. 

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Fit & Proper Requirements Checklist

How this training helps...

  • Outlines the requirements for assessing fitness and propriety
  • Identifies the different requirements for senior management and certification function
  • Provides a visual checklist to quickly note what you need to meet the minimum requirements for assessment




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