I / we confirm in the last twelve months:
- There has been no change to the "principals" (being the directors / partners or other persons exercising significant control) of the business, including their identity, role or usual residential address.
- There has been no change to the current shareholding of each of the principals of the business
- There has been no change to the businesses core details including its:
- trading address
- Company status (i.e. limited company / LLP / sole trader / partnership)
- There has been no significant change to the details relating to the size nature and type of business activities undertaken as previously disclosed
- There have been no Significant Events, including but not limited to, where your business or any principal (director, partner or other key individual), has been:
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- Subject to any material breach, remediation programme or supervisory intervention relating to customer outcomes, conduct risk or credit broking activities
- Subject to a bankruptcy, winding up petition, creditors voluntary agreement or insolvency order either in the UK or outside the UK
- Subject to any investigation or disciplinary action taken by the FCA or other regulatory body in the UK or outside the UK
- Subject to any material litigation or material complaints (include any pending proceedings or investigation)
- Subject of an investigation into allegations of misconduct or malpractice in connection with any business activity
- Investigated for, or accused of, corrupt conduct or bribery
- Accused by any government agency or convicted of bribery or fraud or other dishonesty in the past five years (include pending proceedings)
- Disqualified by a court from acting as a director of a company or from acting in a management capacity or conducting the affairs of any company, partnership or unincorporated association
- There has been continued compliance with all applicable legal and regulatory obligations, including that policies, procedures, systems and controls are implemented in practice, kept under review, and supported by appropriate training and governance
- Appropriate steps have been taken in response to all key regulatory or legal changes in relation to the following:
- Anti-Bribery
- Data Protection
- Anti-Money Laundering
- Information Security
- There has been continued compliance with the legal and regulatory obligations in relation to the businesses credit broking activities (including the maintenance of all policies and procedures / systems and controls / annual training / appointed officers) and appropriate steps have been taken in response to all key regulatory or legal changes.
- There have been no material issues identified in relation to customer outcomes, including sales practices, disclosures, commissions, affordability, or complaints handling, that have not already been notified to us.
Please select one of the options below. If you cannot confirm that all statements remain accurate, you must provide details of the relevant changes. Failure to disclose relevant changes may impact our ability to continue our relationship with you.
I / we confirm that all statements in this Confirmation remain accurate and complete and that there have been no material changes in the last 12 months.
I / we confirm that I / we will notify you immediately if there are any material changes which would impact the accuracy of this Confirmation.