Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

ANNEX VI SELF DECLARATION (Article 15(2))

In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:

  1. (a)

    has been convicted of any criminal offence;

  2. (b)

    has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature;

  3. (c)

    has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity;

  4. (d)

    has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies;

  5. (e)

    has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;

  6. (f)

    has been refused the right to carry on activities which require registration or authorisation by a regulatory body;

  7. (g)

    has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking;

  8. (h)

    has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action;

  9. (i)

    has been investigated, suspended or sanctioned by a regulatory body;

  10. (j)

    has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice.