Here's how:
Click WORKBENCH and then click DATASETS.
Then click SM&CR.
Then choose Certification Regime.
Then click on Fit and Proper testing.
Then click on Fit and Proper Assessment Criteria.
Then click on Competence and capability.
Then click on Financial advisors.
Then click on Advisor qualifications.
A list of advisor qualification records will appear (if any have been created), listed by firm name.
If the firm already has a log of Advisor qualifications and you're adding a new entry or updating information already held within the system, click on the firm name and skip to step 11.
If a record of qualifications for the firm has not yet been created, you would need to create a new one - click the PLUS (+) symbol next to ADVISOR QUALIFICATIONS in the middle of the screen.
A new pop up window will appear.
If this is a blank form, with no information in it currently, skip to step 13. Otherwise if there is already information here you can update it by clicking the EDIT button, and following the steps from step 14 below.
In the General section:
Use the Name dropdown box in the General section to confirm the business that the list of advisor qualifications are for. (NB - if the business you are sending the request to doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
In the Advisor Qualifications section you can:
Use the Certificate Level Subjects section to record any Certificate Level Subject qualifications your staff members hold (see below).
Use the Diploma Level Subjects section to record any Diploma Level Subject qualifications your staff members hold (see below).
Use the Advanced Diploma Level Subjects section to record any Advanced Diploma Level Subject qualifications your staff members hold (see below).
Use the IFS DipFA section to record detail of any IFS DipFA level qualifications your staff members hold (see below).
Use the Other Qualifications section to record details of any other qualifications that your staff members hold (see below).
Use the Documents section (by clicking the button) to upload any supporting documents to support this assessment.
Certificate Level Subjects
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset. Click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the Advisor qualifications record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the business who's qualifications you are recording from the dropdown list next to Certificate Level Subjects. (NB - if the business you are recording qualifications for doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 7. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Name to record the individual in your firm who holds this qualification. (NB - if the person who is the subject of these records doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the date picker box under last review date to record when these details were last reviewed.
Use the text boxes under the qualification components (CF1 - CF9, FA1, FA2, FA5, FP1 - FP3, GR1, ER1, HR1, IF7, RO5, LP2, NSC) to record the details of the qualifications the advisor holds.
Use the text box under Comments to record any information or additional context needed (if required).
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another record of advisor qualifications for this firm, click ADD ROW and repeat the steps under point 7 above.
Finally, click SAVE and then CLOSE.
Diploma Level Subjects
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset. Click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the Advisor qualifications record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the business who's qualifications you are recording from the dropdown list next to Diploma level subjects. (NB - if the business you are recording qualifications for doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 7. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Name to record the individual in your firm who holds these qualifications. (NB - if the person who is the subject of these records doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the date picker box under last review date to record when these details were last reviewed.
Use the text boxes under the qualification components (J01- J12, CF2, CF6, CF7, CF8, MAQ, SV1, NSC, RO1 - RO8, NSC) to record the details of the qualifications the advisor holds.
Use the text box under Comments to record any information or additional context needed (if required).
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another record of advisor qualifications for this firm, click ADD ROW and repeat the steps under point 7 above.
Finally, click SAVE and then CLOSE.
Advanced Diploma Level Subjects
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset. Click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the Advisor qualifications record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the business who's qualifications you are recording from the dropdown list next to Advanced Diploma level subjects. (NB - if the business you are recording qualifications for doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 7. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Name to record the individual in your firm who holds these qualifications. (NB - if the person who is the subject of these records doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the date picker box under last review date to record when these details were last reviewed.
Use the text boxes under the qualification components (G10, G20, G30, G60, G70, G80, F10, F20, F30, K10, K20, H15, H25, AF1 - AF5, AF7, AF8, NSC, Misc) to record the details of the qualifications the advisor holds.
Use the text box under Comments to record any information or additional context needed (if required).
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another record of advisor qualifications for this firm, click ADD ROW and repeat the steps under point 7 above.
Finally, click SAVE and then CLOSE.
IFS DipFA
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset. Click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the Advisor qualifications record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the business who's qualifications you are recording from the dropdown list next to IPS DipFA. (NB - if the business you are recording qualifications for doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 7. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Name to record the individual in your firm who holds these qualifications. (NB - if the person who is the subject of these records doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the date picker box under last review date to record when these details were last reviewed.
Use the dropdowns under the qualification components (Unit 1 FRSE, Unit 2 AFA Course Work, Unit 2 AFA Exam, AwPETR) to record the details of the qualifications the advisor holds.
Use the Qualification dropdown to record the level of qualification the individual holds.
Use the text box under Comments to record any information or additional context needed (if required).
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another record of advisor qualifications for this firm, click ADD ROW and repeat the steps under point 7 above.
Finally, click SAVE and then CLOSE.
Other Qualifications
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset. Click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the Advisor qualifications record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the business who's qualifications you are recording from the dropdown list next to Other Qualifications. (NB - if the business you are recording qualifications for doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 7. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Name to record the individual in your firm who holds these qualifications. (NB - if the person who is the subject of these records doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the Competent Advisor Status (CAS) radio button to confirm whether the individual holds CAS.
Use the date picker box under CAS attained date to record when the individual obtained CAS (if they have).
Use the date picker box under CAS Target Date to record when the individual plans to achieve CAS (if they haven't already).
Use the text box under Comments to record any information or additional context needed (if required).
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another record of advisor qualifications for this firm, click ADD ROW and repeat the steps under point 7 above.
Finally, click SAVE and then CLOSE.