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For Advisers and Principals

We are required by the FCA to ensure that all our Appointed Representative Firms, and all Advisers, are solvent and suitable to conduct financial advice. This monitoring is undertaken on a regular annual basis.

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* 1. Name

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* 2. Your email address

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* 3. FINANCIALS. Since joining the Firm has there been a negative change in your financial position? (if yes, we will ask you for details separately)

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* 4. FINANCIALS. Are you able to confirm that the value of your assets (e.g. property etc) exceeds your liabilities (all debts)? (if no, we will ask you to provide details separately)

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* 5. FINANCIALS. Have any CCJs or Defaults been listed against you since joining the Firm, or are you aware of any pending proceedings? (if yes, we will ask you for details separately)

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* 6. FINANCIALS. Have you been disqualified from acting as a director or similar position, since joining the Firm? (if yes, we will ask you for details separately)

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* 7. FINANCIALS. Have you made any arrangements with your creditors, including HMRC? (if yes, we will ask you to provide details separately)

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* 8. FINANCIALS. Have you been convicted or cautioned for any criminal offence since joining the Firm, or are you aware of any pending proceedings? (if yes, we will ask you to provide details separately)

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* 9. FINANCIALS. Have you been convicted of any traffic offences, resulting in a ban from driving, since joining the Firm? (if yes, we will ask you to provide details separately)

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* 10. OTHER BUSINESS INTERESTS. Do you have any other business interests, including second jobs or interests/ownerships in other Firms? (where you do, please provide details)

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* 11. INTRODUCERS. Where you receive leads from an Introducer (such as an estate agent or marketing lead provider) then we need to record these Firms or Individuals as Introducers. Please confirm if you have any Introducers? (where you do, please provide details)

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* 12. FCA CODE OF PRACTICE. Please can you confirm that you have read and understood the FCA's Conduct Rules which apply to your role, including how Treating Customers Fairly and Consumer Duty applies to your role?
https://www.fca.org.uk/firms/senior-managers-and-certification-regime/conduct-rules

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* 13. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you understand our Advice Standards and Record Keeping requirements?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 14. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you understand our Anti Money Laundering procedures, and how to report any suspicious circumstances you encounter?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 15. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you understand our policy on gifts and hospitality from third parties?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 16. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you know where to report any concerns over bribery, corruption or inducements?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 17. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you are aware of our Complaints Procedures, and where to immediately report a complaint?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 18. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you hold a Data Protection Licence with the ICO (self employed Advisers only, as employed Advisers are covered by their employer's Licence), and that you understand our policy on keeping our client's personal data secure?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 19. FINANCE PLANNING SYSTEMS & CONTROLS. Regarding Whistle Blowing, please acknowledge that we endorse the Public Interest Disclosure Act (1988) and that you can freely make any relevant notification to the Firm's Compliance Officer?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 20. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you understand our policy on Conflicts of Interest and that you'll notify any conflicts of interest to the Firm's Compliance Officer?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 21. FINANCE PLANNING SYSTEMS & CONTROLS. Please confirm that you will immediately notify the Firm's Compliance Officer of any changes to your personal circumstances which could impact on your fitness or competence to undertake the role for which you have been approved by the FCA?
https://knowledgehub.website/ (and scroll down the home page to library)

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* 22. DECLARATION.I declare that the information I have supplied in this form is complete to the best of my knowledge and belief, and that I will promptly notify Finance Planning of any changes in the information I have provided, if applicable?

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