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Statement of Professional Standing application guidance

When applying, advisers need to confirm:

  • Their FCA Individual Reference Number (this is validated against the FCA Register)

  • Which relevant FCA TC Appendix 1.1 activities they undertake

  • Which appropriate qualification(s) they hold for activities they undertake (relevant CII qualifications are pre-populated)

  • Their adherence to a declaration

Scenario 1 - no gap fill required

Qualification gap fill is not required as qualifications already meet the RDR exam standards in full.

Relevant to:

  • CII Diploma in Regulated Financial Planning holders

  • Non-CII 'fully RDR compliant' qualification holders

SPS scenario 1

Scenario 2 - gap fill required

Qualification gap fill is required in order to meet the RDR exam standards in full. This must be successfully verified by the CII before submitting an SPS application.

Relevant to:

  • CII 'transitional qualification' holders, e.g. Diploma/Advanced Diploma in Financial Planning and AFPC

  • Non-CII 'transitional qualification' holders with completed gap fill signed off by another Accredited Body (members go direct to SPS application)

  • Non-CII 'transitional qualification' holders completing gap fill with the CII/PFS

SPS scenario 2

 Important notes regarding non-CII qualifications:

  • CII framework credits are not issued as part of this process and can only be obtained through a CII recognition of prior learning application.

  • Members will not be eligible to use the DipPFS membership designation solely as a result of the SPS application process.


Document links