Prudential Regulation Authority Rulebook

5.1

The requirements of 2.4 do not apply to a firm in respect of any person who has continued approval in relation to that firm.

5.2

Item (F) in the regulatory reference template does not require disclosure of the following information if the firm’s records do not show whether the conduct that was subject to disciplinary action amounted to a breach of the individual conduct requirements referred to in item (F) in the regulatory reference template:

1. (1) disciplinary action (other than disciplinary action in (2)) that took place prior to 10 December 2018; and
2. (2) disciplinary action in respect of a certification employee that took place prior to 10 December 2019.

5.3

The requirement to obtain regulatory references in accordance with 2.4A does not apply to a firm in respect of any person to the extent that:

1. (1) the firm is deciding whether the person is fit and proper for the purpose of issuing a certificate to perform a certification function; and
2. (2) immediately prior to 10 December 2019 the person performed the same certification function for the firm.