Begin by accessing the Individuals page within the application. Once there, navigate to the Certification tab and click on Start.
Adding Significant Harm Functions (SHF)
To specify roles related to the certificate, click the Add significant-harm Functions button. This opens a modal window where you can select one or multiple SHFs relevant to the individual's role.
Once added you will see the SHF's on their draft certificate, from here you can:
- Add a Narrative: Provide a descriptive explanation or context by clicking the narrative icon. This narrative can offer further insight or clarifications regarding the individual's responsibilities.
- Set a Start Date: Assign a start date for each SHF. This date is critical, as it will automatically populate the Financial Conduct Authority (FCA) directory for compliance purposes.
- Remove an SHF: If a particular SHF is not needed or was added by mistake, you can easily remove it by clicking the corresponding icon.
Requesting Individual Approval
Before finalizing the certificate, you can request approval from the individual. This triggers an automated email, prompting the individual to review and confirm the contents of their certificate.
Previewing the Certificate
Before issuing, you can preview the finalized certificate to verify all details and make necessary corrections. This step ensures accuracy and prevents errors.
Issuing the Certificate
The Issue Certificate option is available only if the individual has a valid Fit and Proper (F&P) status.
Click Issue Certificate and set an issue date (past or future). You can also notify relevant parties, such as the individual, their line manager, and the regulatory manager, via email.
Viewing Certificate Status
Once issued, the certificate status is displayed on the individual's profile, showing key details and a history of actions for easy tracking.
