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You are viewing the version of the document as on 2023-07-04.

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    2023-07-04

SYSC 23.4 Criminal record checks for certain directors

SYSC 23.4.1R

1This section applies to a UK SMCR firm that is:

  1. (1)

    an enhanced scope SMCR firm; or

  2. (2)

    a core SMCR firm.

SYSC 23.4.2R

1A firm must (as part of its assessment of the fitness and propriety of any of its non-SMF board directors subject to competence requirements (P)) obtain the fullest information that it is lawfully able to obtain about P under Part V of the Police Act 1997 (Certificates of Criminal Records, &c) and related subordinated legislation of the United Kingdom or any part of the United Kingdom before P’s appointment as a board director.

SYSC 23.4.3G

1The guidance in SUP 10C.10.17G, SUP 10C.10.18G and SUP 10C.10.21G about criminal record checks for candidates to be an SMF manager applies to criminal record checks under this section.