DEDICATED SUPPORT
RUITING ?
WHAT TO WATCH OUT FOR
When recruiting for an adviser , the FCA expects a firm to take into consideration the individual ’ s honesty , integrity , reputation , competence , capability and financial soundness . To help determine whether the individual meets these standards , a firm should undertake fit and proper checks prior to the individual commencing the advisory role .
Our Fit and Proper check service includes :
• References
• Credit Check
• Criminal Record Check
• Companies House Check
• Knowledge Testing
• Conduct Rules Training
• FIT Assessment
We provide a bespoke report showing a detailed analysis on the individual so that you can accurately assess their suitability and evidence this to the FCA .
TO FIND OUT MORE COMPLETE THIS FORM AND WE WILL BE IN TOUCH
MAY 2024 | 13