Performance of Certification Functions | Prudential Regulation Authority Handbook & Rulebook
Prudential Regulation Authority Rulebook

Prudential Regulation Authority Rulebook

Part

Insurance - Certification

Chapter

Performance of Certification Functions

Printed on: 04/07/2025

Rulebook at: 26/01/2023


3

Performance of Certification Functions

3.1

A firm must take reasonable care to ensure that none of its employees performs a certification function under an arrangement entered into by the firm in relation to the carrying on by the firm of a regulated activity, unless the employee has a valid certificate issued by the firm.

  • 10/12/2019

3.2

A person does not perform a certification function for a firm under 2.1 if the person is performing any controlled function for that firm.

  • 10/12/2018

3.3

To the extent that:

  1. (1) a firm appoints a person to perform a function which, but for this rule, would be a certification function;
  2. (2) the appointment is solely to provide cover for a certification employee whose absence is reasonably unforeseen; and
  3. (3) the appointment is for less than four weeks;

such a person does not perform a certification function.

  • 10/12/2018