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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

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certification employee

(1) (as described in more detail in section 63E(1) of the Act (Certification of employees by authorised person)) an employee (as defined) of an SMCR firm who has a valid certificate issued by that SMCR firm.227

227

236(3) (in relation to an SMCR firm that is an FCA-authorised person (other than a pure benchmark SMCR firm and any other SMCR firm to which SYSC 27 (Senior managers and certification regime: Certification regime) does not apply)243 and subject to SYSC TP 8 (Bank of England and Financial Services Act 2016: Application to claims management companies)) an employee (as defined in section 63E of the Act) of an SMCR firm who performs a certification function under an arrangement entered into by the SMCR firm in relation to the carrying on by the SMCR firm of a regulated activity, even though the obligation of the SMCR firm to issue a certificate under section 63F of the Act has not yet come into force.

236[Note: Paragraph (3) of this definition applies until 31 March 2021249.]