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2022 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 2022 to 31 Dec 2022.

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

Section 1 - Personal Information

This will be the email we will be emailing your SPS certificate too.

** If you have received an SPS by another awarding body, please email SPS@cfauk.org

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)

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

For 2021 SPS renewals, the FCA confirm under exceptional circumstances if individuals were unable to complete the full CPD hours, due to the COVID-19 pandemic, they could carry over these hours. SPS applicant who confirmed with CFA UK that they would be acting under adjusted hours, must have completed those additional CPD hours for this SPS year.

Section 4 - Regulatory information

Regulated firm authorisation details

If you are regulated by the FCA, please provide your valid Individual Reference Number (IRN). You would have obtained this when you registered on the FCA register. Your IRN will be used by CFA UK as verification for your regulated activities

Regulated firm authorisation details (Primary Firm)

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.

If you are regulated under more than one firm, please enter your primary details above and use the box below to indicate how many firms you give advice under. Please also email SPS@cfauk.org with the names and reference numbers of any additional firms for our records.

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 FCA's COCON or here for FCA APER.

CPD audit.