Annual Certification Assessment Template Pack
Everything you need to conduct compliant annual fitness and propriety assessments for your Certified Persons. FCA-aligned. Ready to use. Audit-proof.
Get Instant Access →Sound Familiar?
These certification challenges put firms at regulatory risk every day
📋 No Documented Process
Your annual certification process exists in emails and spreadsheets, with no consistent approach or audit trail to demonstrate to the FCA.
⏰ Certifications Slipping
Without proper tracking, certification expiry dates get missed, leaving Certified Persons operating without valid certification.
📝 Inconsistent Assessments
Different managers assess differently. No standardised criteria means you can’t demonstrate fair, consistent evaluation across the firm.
🔍 Regulatory Scrutiny
The FCA is increasingly focused on SMCR compliance. Can you evidence your certification process in a supervisory visit?
Introducing the Complete Solution
10 professionally crafted templates covering every aspect of annual certification
Annual Assessment Form
Comprehensive form covering fitness, propriety, MRT status and decision sign-off
Self-Declaration Questionnaire
23 questions covering criminal, regulatory, financial and other FIT matters
Manager Assessment Checklist
18-point evaluation of knowledge, skills, performance, conduct and integrity
Verification Templates
DBS, regulatory references, FCA Register and Companies House check records
Decision Record Template
Formal certification decision with evidence checklist and approval workflow
Communication Templates
4 ready-to-send emails: reminders, confirmations, conditionals and chasers
Escalation Procedure
Step-by-step process for handling non-certification and concerns
Certification Register
Excel tracker with dashboard, auto-expiry alerts and audit log
Planning Calendar
12-month planner with monthly task checklists and MI reporting
Material Risk Taker Addendum
Enhanced MRT assessment including remuneration code compliance
Why Compliance Teams Choose This Pack
Built by practitioners, for practitioners
Save 40+ Hours
Skip weeks of template development. Download and deploy immediately with minimal customisation needed.
Audit-Ready
Built-in audit trails and documentation standards that satisfy regulatory scrutiny and internal audit.
FCA Aligned
Every template references FIT 1, FIT 2, SYSC 27 and COCON requirements. No gaps, no guesswork.
Scalable
Works for firms with 5 Certified Persons or 500. Includes efficiency features for larger populations.
Choose Your Package
Select the tier that matches your firm’s needs
- ✓ Annual Assessment Form
- ✓ Self-Declaration Questionnaire
- ✓ Manager Assessment Checklist
- ✓ Certification Register (Excel)
- ✓ Implementation Guide
- ✓ Everything in Essential
- ✓ Verification Templates Pack
- ✓ Decision Record Template
- ✓ Annual Planning Calendar
- ✓ Staff Communication Templates
- ✓ Everything in Complete
- ✓ Non-Certification Escalation Procedure
- ✓ Material Risk Taker Addendum
- ✓ Conditional Certification Forms
- ✓ 30-min Implementation Call
Aligned to FCA Handbook Requirements
Frequently Asked Questions
What format are the templates?
Word documents (.docx) for forms and procedures, Excel (.xlsx) for registers and trackers. Fully editable in Microsoft Office or Google Workspace.
Can I customise the templates?
Absolutely. All templates are fully editable so you can add your branding, adjust wording, and tailor to your firm’s specific needs.
Do you offer refunds?
Due to the digital nature of the product, we cannot offer refunds once downloaded. However, we’re confident you’ll find the pack invaluable.
Will this work for my firm type?
The pack covers all standard Certification Functions and is suitable for any FCA-regulated firm operating under SMCR, from small IFAs to larger investment firms.
How quickly can I access the templates?
Instantly. After payment, you’ll receive a download link immediately. No waiting, no delays.
Is support included?
Premium tier includes a 30-minute implementation call. All customers can contact us with questions about using the templates.
Ready to Professionalise Your Certification Process?
Join firms across the UK who trust our templates for their SMCR compliance
Get the Template Pack Now →
