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You are viewing the version of the document as on 2023-04-21.

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    2023-04-21

SUP 16 Annex 44B Guidance notes for the completion of Employers' Liability Register compliance return in SUP 16 Annex 44AR

Annex 44BG

1Firm details

1 FRN

Enter the firm reference number.

2 Firm name

Enter the firm name as it appears on the Financial Services Register.

Director’s certificate

3 Is the firm materially compliant with ICOBS 8.4.4R(2) and ICOBS 8 Annex 1 in the production of the firm’s employers’ liability registers in the reporting period?

If the firm is materially compliant, select ‘Yes’ and move on to question 4.

If the firm is not materially compliant, select ‘No’ and proceed to answer questions 3.1 to 3.3.

3.1 Please confirm that the director’s certificate contains a description of the ways in which the firm, in its production of the register, is not materially compliant and of the steps, together with relevant timescales, that the firm is taking to ensure that the firm will be materially compliant as soon as practicable. This question relates to the requirement in SUP 16.23A.5R(1)(b).

If an explanation is provided in the director’s certificate or auditor’s report select ‘Yes’.

3.2 How many policies are omitted from the register? (as a proportion of the total number of policies required to be included in the register.)

Enter the percentage of the total number of policies omitted from the register.

If this percentage is an estimate, the basis for estimation should be included in the supporting documents.

3.3 How many policies in the register contain incorrect or incomplete information? (as a proportion of the total number of policies required to be included in the register.)

Enter the percentage of the total number of policies where there is incorrect or incomplete information on the register.

If this percentage is an estimate, the basis for estimation should be included in the supporting documents.

Director’s Certificate upload

4 Please upload a copy of the director's certificate here in PDF format

[upload functionality]

Auditor’s report

5 Does the auditor’s report confirm the firm is materially compliant with ICOBS 8.4.4R(2) and ICOBS 8 Annex 1 in the production of its employers’ liability registers in the reporting period?

Indicate if the auditor’s report confirms the firm is materially compliant by selecting ‘Yes’.

Where the auditor’s report states the firm is not materially compliant select ‘No’.

Auditor’s report upload

6 Please upload a copy of the auditor’s report here in PDF format.

[upload functionality]