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2020 SPS Application Form

This form should only be submitted by individuals who wish to receive a Statement of Professional Standing (for advising in securities and/or derivatives) for the calendar year 1 Jan 2020 to 31 Dec 2020.

In submitting your SPS application, you are agreeing to the SPS terms and conditions.

Section 1 - Personal Information

Postal address for us to send your SPS certificate

Section 2 - Qualification information and RDR compliance

CFA UK can only award a SPS to a member who has met the qualification requirements set by the relevant regulator:

  • The Financial Conduct Authority (FCA)
  • Guernsey Financial Services Commission
  • Isle of Man Financial Services Authority

CFA UK qualifications routes to RDR compliance include:

  • CFA Level 1 + IMC Level 4
  • CFA Level 1 + IMC Level 3 + CFA/IMC Gapfill (please send a copy of certificate to SPS@cfauk.org if gapfill completed with another organisation apart from CFA UK)
  • CFA Levels 1 and 2 + IMC Level 4 Unit 1
  • CFA Level 1 and 2 + IMC Level 3 Unit 1 + CFA/IMC Gapfill (please send a copy of certificate to SPS@cfauk.org if gapfill completed with another organisation apart from CFA UK)
  • ASIP + IMC Unit 1 Gapfill + Topic 19 (securities) reading/ Derivatives assessment

You must be RDR compliant to proceed with your SPS application. RDR compliance can be via one of the routes listed above. or you may have confirmed your RDR compliance via an alternative route. CFA UK must have confirmed your RDR compliance in order to process your SPS application. If you have not yet confirmed this with us, or do not know if you are RDR compliant, please contact us before proceeding with this application. Please email SPS@cfauk.org.

Please tick to confirm your agreement with the following statements:

Section 3 - Continuing Professional Development (CPD)

Please ensure you have read CFA UK’s CPD policy before applying for your SPS. While we do not ask you to submit your CPD log, it is essential that you maintain one in line with our policy, and to be issued with an SPS you must attest to having completed your CPD in line with these standards.

Please be aware that CFA UK audits 10% of SPS applicants annually to verify that CPD records are accurate, and that the continuing professional development undertaken by the member is appropriate. Therefore, you must be ready to submit your completed CPD log on request. CFA UK may withdraw an SPS where requirements have not been met.

* Is a required field

** Due to system issues in October 2019, the CFA UK CPD year has been extended by a month, to 30 November 2019, to allow for the completion of CPD, for 2020 SPS applications only. Note: any CPD completed in November 2019 that is used towards the 2020 SPS application, cannot also be counted as CPD for the 2021 SPS application.

Section 4 - Regulatory information

Regulated firm authorisation details

Please provide a valid firm reference number (FRN), as you must be verified as competent by your employer. CFA UK will obtain this verification using the details below.

Compliance officer address


CFA UK will contact the individual whose details are provided when applicable to your SPS application.

FCA CF30 Registration Details (If applicable)

If you have an active CF30 registration with the FCA, please enter your registration number:


If you do not hold an active CF30 registration, please ensure that you have filled in the regulated firm authorisation details.

Section 5 - Declarations

Click here to view.

Which describes best practices relating to professionalism, the integrity of capital markets, duties to clients, duties to employers, investment analysts, recommendations & actions, and conflicts of interest.

Click here to view Statements of Principle and Code of Practice for Approved Persons. 

CPD audit.