SMCR Self Certification Check Questions - Detailed Candidate Questionnaire

You may be wondering, what questions do you actually ask candidates to complete for the SMCR Self Certification check? To help you know what you will see, here are the questions asked on Zinc for this check. ## Criminal proceedings ### Have you ever been convicted of any criminal offence in any jurisdiction? Yes or No ### Are you currently, or have you ever been, the subject of any criminal proceeding in any jurisdiction? Yes or No ### Have you ever been given a caution in relation to any criminal offence? Yes or No ### Have you ever been arrested or charged with any criminal offence or been the subject of any criminal investigation? Yes or No ### Have you ever been ordered to produce documents pursuant to any criminal investigation or been the subject of a search Yes or No ### Has any firm at which you hold or have held a position of influence ever been summoned, charged or convicted of any criminal offence? Yes or No We also provide a text box to expand on any of the criminal check responses above and let you know you must provide more detail on any **Yes** responses. ![smcr-self-certification-questions-1](https://storage.googleapis.com/public-fini-assets/zincwork_hc_images/smcr-self-certification-questions-1.png) ## Civil Proceedings ### Have you ever been the subject of a judgement debt or award against you? Yes or No ### Have you ever been party to any civil proceedings which resulted in any order against you? Yes or No ### Are you aware of any proceedings that have begun, or anyone’s intention to begin proceedings against you, for a CCJ or another judgement debt? Yes or No ### Are you aware of anyone’s intention to begin more than one set of proceedings, that may lead to a CCJ or other judgement debt? Yes or No ### Do you have any current judgment debts (including CCJs) made under a court order still outstanding, whether in full or in part? Yes or No ### Have you ever failed to satisfy any judgment debts (including CCJs) made in full or in part within one year? Yes or No ### Have you ever filed for your own bankruptcy or had a bankruptcy petition served on you? Yes or No ### Been the subject of a bankruptcy restrictions order (including an interim bankruptcy restrictions order) or offered a bankruptcy restrictions undertaking? Yes or No ### Made any arrangements with your creditors, for example a deed of arrangement or an individual voluntary arrangement (or in Scotland a trust deed)? Yes or No ### Been involved in any proceedings relating to the above matters even if such proceedings did not result in the making of any kind of order against you or result in any kind of agreement with you? Yes or No ### Do you, or any undertaking under your management, have any outstanding financial obligations arising from regulated activities, which have been carried out in the past? Yes or No ### Have you ever been adjudged by a court or tribunal (whether criminal, civil or administrative) for any fraud, misfeasance, negligence, wrongful trading or other misconduct? Yes or No ### Are you currently: party to any civil proceedings or aware of anybody's intention to begin civil proceedings against you? Yes or No ### Has the firm at which you hold or have held a position of influence ever been adjudged by a court civilly liable for any fraud, misfeasance, wrongful trading or other misconduct? Yes or No ### Has the firm at which you hold or have held a position of influence ever been the subject of a judgement debt or award against the firm? Yes or No ### Has the firm at which you hold or have held a position of influence ever been party to any other civil proceedings which resulted in an order against the firm other than the above? Yes or No ### Is any firm at which you currently hold a senior position, or have held within the last 12 months been subject to civil proceedings or intended proceedings? Yes or No ### Has any company or association of which you are or have been in a director or in a senior role at any time during or within one year after your tenure, been put into liquidation, wound up, ceased trading or entered into any voluntary arrangement with its creditors? Yes or No We also provide a text box to expand on any of the civil proceeding responses above and let you know you must provide more detail on any **Yes** responses. ![smcr-self-certification-questions-2](https://storage.googleapis.com/public-fini-assets/zincwork_hc_images/smcr-self-certification-questions-2.png) ## Regulatory ### In relation to any regulated activity, have you or any company you've been a director or senior manager of been refused, revoked or suspended from any licence, authorisation or membership by any such body? Yes or No ### In relation to any regulated activity, have you or any company you've been a director or senior manager of been criticised, censured, disciplined, suspended, expelled, fined, or been the subject of any other disciplinary or interventional action by any such body? Yes or No ### In relation to any regulated activity, have you or any company you've been a director or senior manager of received a warning or been the subject of any investigation? Yes or No ### Or decided, after making an application for any licence, authorisation or membership, not to proceed with it? Yes or No ### Or provided payment services or distributed e-money on behalf of a regulated firm or itself under any contractual agreement where that agreement was terminated by the regulated firm? Yes or No ### Have you or any firm at which you hold or have held a position of influence at been found to have carried on activities for which authorisation or registration by the FCA/PRA or any other regulatory body is required without the requisite authorisation? Yes or No ### Or have you found to have performed a controlled function (or an equivalent function requiring approval by the FCA/PRA or any other regulatory body) without the requisite approval? Yes or No ### Or have you been found to have failed to comply with an obligation under the Electronic Money Regulations 2011 or Payment Services Regulations 2009 to notify the FCA/PRA of the identity of a person acting in a position of influence over its electronic money or payment services business? Yes or No ### Or have you been the subject of disqualification direction under section 59 of the Financial Services Act 1986 or a prohibition order under section 56 FSMA, or received a warning notice proposing that such a direction or order be made? Yes or No We also provide a text box to expand on any of the regulatory responses above and let you know you must provide more detail on any **Yes** responses. ![smcr-self-certification-questions-3](https://storage.googleapis.com/public-fini-assets/zincwork_hc_images/smcr-self-certification-questions-3.png) ### In the role to which the application relates, are you aware of any business interests, employment obligations, or any other circumstance which may conflict with the performance of the controlled functions for which approval is now being sought? Yes or No Finally, we ask you **Are you aware of any other information relevant to this notification that we might reasonably expect you to give?** with a text box to explain further information. ![smcr-self-certification-questions-4](https://storage.googleapis.com/public-fini-assets/zincwork_hc_images/smcr-self-certification-questions-4.png) That's everything. Once you complete these questions and sign off your responses, the check is completed with results available to the recruiter. If you need to learn more about the Self Certification check, see the guidance article on what a Self Certification Check is [here](https://help.zincwork.com/hc/hm54ky7yrc/article/3393e704-what-is-a-self-certification-check-and-how-is-it-used).