Where a consumer seeks confirmation from a regulated firm that the person providing advice on or arranging or offering to arrange retail financial products or undertaking specified functions meets the Standards set out in Part 1 of this Code, the regulated firm must provide the consumer with a certificate on the firm’s headed stationery in the following format:
The certificate must be signed by the regulated firm. The regulated firm shall maintain a record of the certificates issued and carry out an annual review to ensure they are still accurate and up to date.