Under the Certification Regime, firms must assess each certified person as fit and proper at least once a year. A certificate is valid for 12 months from the day it's issued.
Check the date against your own records.
Who needs a certificate
Staff who aren't Senior Managers but carry out a certification function, roles the FCA considers could cause significant harm to the firm or its customers.
Choosing your date
The rules set the frequency, not a calendar date. Many firms certify everyone at the same time each year, often alongside appraisals or the financial year end. Whatever date you choose, reassess before each certificate's 12 months run out.
Related reporting
Certified staff also appear on the FCA Directory, which your firm keeps up to date. Disciplinary action for Conduct Rules breaches is reported separately in REP008.
Get reminded before it's due
Regmindr tracks this and the rest of your FCA calendar, and emails your team before each deadline. Set it up from your year end in about two minutes.
Sources
This page is a summary, not legal or regulatory advice. The rules in the sources above take precedence.