WHAT YOU NEED TO KNOW BEFORE COMPLETING THIS FORM

As part of our regulatory obligations, we must verify that all employees meet the required standards of fitness and propriety. Your firm may need to provide evidence of this compliance to the Financial Conduct Authority (FCA).

The assessment of fitness and propriety involves evaluating the following key elements:

• Honesty, Integrity, and Reputation

• Competence and Capability

• Financial Soundness

If you answer "yes" to any of the questions, please provide detailed information in the summary box below. Leaving any questions unanswered may lead to additional enquiries.

For positions requiring FCA approval, any findings that may impact your fitness and propriety to perform Regulated Activities could result in a review of your employment with the company.

In compliance with the Data Protection Act, all personal information provided in this form will be used solely to meet your firm's obligations under the Financial Services and Markets Act 2000 and other applicable legislation. Your information will not be disclosed for any other purpose without your consent.

There is no ability to save this form during completion, so please ensure you have enough time to complete in one sitting.

You will need to have your Credit Rating and CPD Totals to hand.