Connect will not accept any overlaps in employment dates or gaps of more than one month between them (a minimum of the last 5 years is required).
Please record overlaps in employment history in the Supporting Documents section of the application.
Residential (Address) History
A minimum of 3 years history is required. Connect 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.
Applicant already has senior management functions (SMFs) at your firm
Connect 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).
Applying for Multiple Firms
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.
Applying for Appointed Representative Controlled Functions (CF)
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.
What additional documents are required for the application?
Connect will ask for different documents to support the application, depending on the SMFs being applied for and the size of your firm.
An application for an SMF will always require a copy of the candidate’s CV. Larger firms will require more supporting documents.
These could include the following:
- A Statement of Responsibilities (SOR)
- A Management Responsibilities Map
- A description of the candidate’s role
- An Organisation Chart showing the candidate's upward and downwards reporting
- The candidate's Skills Gap Analysis, learning and development plan, and induction plan and handover
Connect allows for these to be attached as separate documents. If you have all this information in one document, attach it in one place and when asked to attach other documents add text to inform us it is in the single document, selecting ‘Send Later’ at these points to allow you to validate the section without attaching extra documents.
Please note: If needing to provide multiple documents; if you select the ‘Send Later’ option but do not send documents promptly this will delay your application. It is always best to attach the requested documents directly to your application prior to submission.
Requests to withdraw a submitted application to perform a controlled function
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).
Access paper versions of the forms on the Handbook website.
- Filter by the Supervision module
- Type in the form you are searching for in inverted commas (eg "Form A")
- Click submit and select the form from the list of results
Withdrawing an application
Applications to allow an individual to perform a controlled or senior management function may only be withdrawn by the applicant firm notifying us of its withdrawal by submitting a completed Form B, with the consent of the individual candidate. This provides us with notice to withdraw an application to perform controlled functions (including senior management functions). Candidates and firms should refer to our guidance notes before submitting a Form B.
If a firm notifies us that it wishes to withdraw an application for an individual, but the candidate does not consent to the withdrawal, the candidate may continue with 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. It’s not possible for a candidate to be approved for a function at a firm where support has been withdrawn. Any future applications will need to be considered afresh and 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 a senior FCA committee that it is refused. If we propose to refuse an application, a warning notice will be issued setting out the reasons for the refusal. See our regulatory decisions committee information for more on responding to statutory notices.
Changing or Adding a Corporate Partner
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.
- Section 1 – Only the address needs to be completed
- Section 2 – This must be completed in respect of the firm submitting the application
- Section 3 – 3.01 Tick 'Other', and enter 'corporate partner' in the box provided, or, if the application relates to a corporate partner for an appointed representative, tick 'Appointed representative/tied agent – governing function' and enter the appointed representative's firm reference number in the box provided
- Section 4 – This does not need to be completed
- Section 5 – Must be completed for two individuals who are responsible for the running of the corporate body
- Section 6 – Please provide the details (full names, dates of birth and addresses) of the two individuals you completed Section 5 for, as well as any other information you feel is relevant to the application. Additionally, please supply the names and dates of birth of all the directors or partners of the corporate body
- Section 7 – This must be signed by a member of the applicant firm, as well as the firm submitting the application (the signatures must be original and not photocopies or scans).
If the application relates to an SMF (ie it is not for an appointed representative governing function), please also provide the following information:
- Place and date of incorporation
- Details of the voting rights
- Details of the governance and interaction the corporate body has with the FCA authorised firm