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2021 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 2021 to 31 Dec 2021.

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 qualifications routes to RDR compliance include:

  • CFA Level I + IMC Level 4
  • CFA Level I + IMC Level 3 + CPD Gapfill (please send a copy of certificate to SPS@cfauk.org if Gapfill completed with another organisation apart from CFA UK)
  • CFA Program (full) + IMC Level 4 Unit 1
  • CFA Program (full) + IMC Level 3 Unit 1 + CPD Gapfill (please send a copy of certificate to SPS@cfauk.org if Gapfill completed with another organisation apart from CFA UK)
  • ASIP + CPD 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. If you are not sure if you are RDR compliant please email SPS@cfauk.org before proceeding with your application.

Please tick to confirm your agreement with the following statements:

Section 3 - Continuing Professional Development (CPD)

For 2020 SPS renewals, CFA UK offered an option for applicants to end their CPD year a month later than usual, to 30 November 2019. If you decided to opt in for the extension, please note you cannot count CPD completed in November 2019 and utilised in your prior certification for the new SPS year. If you are unsure if you chose the extension, please email SPS@cfauk.org

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 the COVID-19 pandemic, the FCA has recognised that exceptional circumstances might impact individuals completing the required minimum number of CPD hours; accordingly, the FCA has set in place guidance to enable individuals to carry over CPD hours not completed to the next CPD year. Any individual wishing to carry over CPD hours not completed to their next CPD year must have agreed this with their Compliance Officer.

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

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.