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CLC Home
Pricing & Enrollment
Learner Portal
Group Management
Contact Us
STT Fit & Proper Monitoring
STT Fit & Proper Monitoring
Name of Person Submitting Form
(Required)
First
Last
Email
(Required)
Date of Submission
Month
Day
Year
FSP Details
Confirm if General Details of FSP are Correct. If not, please indicate which changes must be made.
(Required)
Any changes to be noted in the comments section
Yes
No
Confirm if Contact Details of FSP are Correct. If not, please indicate which changes must be made.
(Required)
Any changes to be noted in the comments section
Yes
No
Confirm if Auditor Details of FSP are Correct. If not, please indicate which changes must be made.
(Required)
Any changes to be noted in the comments section
Yes
No
Confirm if Scope of Authorisations of FSP are Correct. If not, please indicate which changes must be made.
(Required)
Any changes to be noted in the comments section
Yes
No
Comments
Note any changes that must be made to FSP information.
Company Registration Details
Upload CIPC Registration
Max. file size: 32 MB.
When last was the CIPC Annual Return Submitted
Month
Day
Year
Upload FSP 3 Form indicating Shareholding and Directors Details
Max. file size: 32 MB.
Upload FSP 4B Form for each Director
Drop files here or
Select files
Max. file size: 32 MB, Max. files: 5.
FSP Governance
Upload document that indicates Governance Framework of the FSP
Max. file size: 32 MB.
Upload an FSP 4D form for any Key Individual that is not a director
Drop files here or
Select files
Max. file size: 32 MB, Max. files: 5.
Indicate if you outsource any of your functions.
If so, stipulate which ones and if you have a service level agreement in place.
Upload Fidelity Cover Schedule
Max. file size: 32 MB.
Upload Professional Indemnity Insurance Schedule
Max. file size: 32 MB.
Client Relationship
Upload Broker Mandate with client
Max. file size: 32 MB.
Upload Fee Schedule
Max. file size: 32 MB.
Upload Client New Relationship Template
Max. file size: 32 MB.
Upload Client End of Relationship Template
Max. file size: 32 MB.
Upload Client Change in Personal Details Template
Max. file size: 32 MB.
Upload Change in Policy or Change in T & C Template
Max. file size: 32 MB.
Upload Any Relevant Client Template
Max. file size: 32 MB.
Comments
Indicate any comments you might have regarding the client relationship
Policies and Procedures
Indicate which Policies & Procedures are in place
Send Policies and Procedures via We Transfer
Company 3 Year Business Plan
Business Continuity Plan
Remuneration Policy
Internal Complaints Management Framework
Complaints Policy (For client attention)
Disaster Management Plan
Risk Management Plan
Risk Register
Compliance Management Framework
Conflict of Interest Management Plan
Treating Customers Fairly Policy
Representative Competency & Conduct Framework
Debarment Policy
Comments
Indicate any comments you might have regarding your Policies and Procedures. Including any additional Policies that you might have in place.
Accounting Function
Name of Person Responsible for Accounting Records
First
Last
Email
Phone
Are the accounting records updated on a monthly basis as per GAAP?
Yes
No
Comments
Indicate any comments you might have regarding the Accounting Function.
