Find out how to complete Form A in order to apply for senior manager functions and controlled functions.
The Form A will not accept any gaps of more than 1 month between them.
A minimum of 3 years' history is required. The application will not accept any gaps between the dates. The history should also include any overseas residency.
If the ‘Find Address’ function does not return any matching results for your address it can be entered manually by ticking the ‘enter manually’ option.
The Form A will show you which SMFs the applicant already holds at your firm. You can add SMFs to this list but you cannot remove them. To do this you must use a Notification to Cease a Controlled Function form (Form C).
You can apply for a candidate to be approved for multiple SMFs at multiple firms on a single application. There is no need to complete separate applications for each firm. Click the ‘Add another Firm’ button to search for another firm to add to the application.
Please note: It is advisable to apply for all required SMFs on one application for candidates new to the FCA, as once the application is submitted, the candidate’s details will be held on system. A second application will not be accepted as a new candidate whilst a decision is still outstanding on the first. If you experience this scenario, please call the Customer Contact Centre on 0300 500 0597.
When completing an application to perform a CF where the candidate will be linked to an appointed representative, the user must ensure they input the firm reference number (FRN) of the appointed representative and the FRN of the authorised firm in the correct sections of the application.
Within the Individual Arrangement section, select either ‘Appointed Representative – Customer Function’ or ‘Appointed Representative – Governing Function’ depending on which CFs you wish to apply for. You will then be asked to input the FRN of the appointed representative firm. Within the Controlled Functions section you will then be asked to input the FRN of the authorised (Principal) firm where the candidate requires the controlled function.
Connect will ask for different documents to support your application, depending on the SMFs being applied for and the size of your firm.
Dual-regulated firms will be asked for a copy of the candidate’s CV. Enhanced SMCR categories, banking, insurance and branches will require more supporting documents.
These could include the following:
Requests to withdraw a submitted application to perform a Controlled Function must be done using a paper Notice to Withdraw an Application to Perform Controlled Functions (Form B). (Handbook SUP 10A.13).
If your firm wants to withdraw its application to allow an individual to perform a controlled or senior management function, you must:
If the candidate doesn’t consent to the withdrawal, they may continue the application without the support of the applicant firm.
If an application proceeds without the support of the applicant firm and we decide favourably on the candidate’s fitness and propriety, this finding will only relate to the role that was applied for by the original applicant firm that has withdrawn its support.
A candidate can’t be approved for a function at a firm where support has been withdrawn. Any future application will need to be considered on its own merits.
If an application proceeds without the support of the applicant firm and we decide against the candidate’s fitness and propriety, we will recommend to an executive decision maker that it is refused.
If we propose to refuse an application, we’ll issue a warning notice setting out the reasons for the refusal.
Firms should complete a Long Form A and post the forms to the address on the front of the Form A.
Cover Page: Enter the name of the corporate body into the 'Name of candidate' field, and the name of the authorised firm into the 'Name of firm' field.
If the application relates to an SMF (ie it is not for an appointed representative governing function), please also provide the following information: