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PERSONAL QUESTIONNAIRE - FAQ

Completing the Electronic Personal Questionnaire

Q1: What type of information will I be required to provide the Commission through completion of the electronic Personal Questionnaire?

The electronic Personal Questionnaire contains 14 sections which must be completed prior to submission to the Commission.
The first 12 sections capture the following information:

Section  
1 to 3 Your personal details including your current and previous contact details

4 Your current and prospective Principal Person and/or Key Person positions

5 The Regulatory Laws relevant to the Registered Person(s) for whom you intend to act

6 Your employment history over the past 10 years

7 Your relevant qualifications and membership of professional bodies

8 to 10 Details of your involvement with any legal actions, disciplinary actions, professional bodies and regulatory authorities

11 Details of any adverse financial matters that you have been involved with e.g litigation or bankruptcy

12 Other information that is relevant to your application

Section 13 is a review function that allows you to check that all mandatory fields have been completed prior to submission of the electronic Personal Questionnaire to the Commission.

Section 14 facilitates:

 

Q2: If I have previously submitted a paper-based Personal Questionnaire, and received a letter of no objection, do I still need to complete an electronic Personal Questionnaire?

Information provided to the Commission using the paper-based Personal Questionnaire forms is not accessible through the
Commission Portal.

If you need to amend any information previously submitted to the Commission you will need to register to use the Commission Portal and complete an electronic Personal Questionnaire in full.

Q3: Do I have to wait until I need to update my information to submit an electronic Personal Questionnaire?

No, you can register to use the Commission Portal and submit an electronic Personal Questionnaire at any time.

Q4: Do I need to submit a paper copy of the completed Personal Questionnaire following an electronic submission?

No, in order to complete your application process the Commission only requires you to send the signed Declaration and Consent page of the electronic Personal Questionnaire and a certified copy of your current passport or national identity card in paper format.

Q5: How do I attach the certified copy of my current passport/national identity card to my electronic Personal Questionnaire?

There is no facility to electronically submit your certified copy of your passport or national identity card through the Commission Portal. You must provide the certified copy of your current passport or national identity card to the Commission in paper format once you have submitted your electronic Personal Questionnaire.

Q6: Do I need to provide any other documents to the Commission e.g. proof of qualifications or a copy of my CV?

No, the Commission may independently verify your qualifications based on the information provided in your electronic Personal Questionnaire.

If the Commission requires any further information from you, most often to clarify an aspect of your submitted information, you will receive a specific request from the Commission detailing the information to be provided and the format in which it should be delivered.

Q7: Can I submit the electronic Personal Questionnaire without providing a certified copy of my current passport/national
identity card?

It depends on the reason for submitting an electronic Personal Questionnaire:

(a) If you are in possession of a current no objection letter from the Commission and are submitting an electronic Personal Questionnaire to update your details, you are not required to provide a certified copy of your current passport/national identity card, unless you are advising the Commission of a change to your name.

(b) If you have not previously submitted a paper-based Personal Questionnaire form to the Commission and received a no objection letter, then the Commission will not be able to determine your application until a certified copy of your current passport or national identity card has been received in paper format.

 

Q8: Where can I get guidance on the dropdown list of positions included at question 4.10 of section 4 (Positions) of the electronic Personal Questionnaire?

Guidance on the dropdown list of positions can be found by clicking here.

Q9: Does the electronic Personal Questionnaire include a list of qualifications to select?

Yes, the Commission has included a dropdown list of qualifications, including those listed in either Codes of Practice or Guidance Notes issued by the Commission.

Additionally, if a particular relevant qualification is not listed please select “other” and use the free format text box to advise the Commission of your relevant qualification(s).

Q10: If I am unsure of the information required to complete a particular mandatory field can I leave the field blank and still submit my Personal Questionnaire?

No, all mandatory fields must be completed prior to submission.

If you need to answer any question on a “best efforts” basis e.g. date of moving house or date a qualification was obtained,
please highlight this to the Commission using the Other Information section (question 12.15).

Alternatively, please contact the Commission Supervision Manager for your registered person.

Q11: Can I save a partially completed electronic Personal Questionnaire?

Yes, you can save and exit your Personal Questionnaire at any stage. When you next log in and access your Personal Questionnaire you will be returned to that screen.

The electronic Personal Questionnaire automatically saves when you move between sections of the Form. If you attempt to sign out of the Commission Portal without saving the system will prompt you to save your work.

Q12: Can I print or save a copy of my electronic Personal Questionnaire, post submission?

The print function of the electronic Personal Questionnaire can be found in section 13 (Review). Once all mandatory fields have
been completed a “print review” button will appear at the bottom of the webpage. This will enable you to create a hard copy of
the webpage to facilitate reviewing the information which will now be ready for submission to the Commission. Following submission the “print review” button remains enabled.

It is not possible to save a soft copy of the submitted information directly onto your own system, however, as the owner of the electronic Personal Questionnaire information, you can view any previously submitted electronic Personal Questionnaire via the
“My Forms” section of the Commission Portal.

Q13: Will the Registered Person be advised when the Commission issues my ‘no objection’ letter?

Not as a matter of course.

However, if you would like the Commission to advise a third party (e.g. Registered Person or Personal Assistant) that a ‘no objection’ letter has been issued you must complete the email notification(s) field - 12.20 of the electronic Personal Questionnaire - using one or more valid email addresses.

Please note that all email address(es) provided to the Commission, through completion of 12.20, will be notified that your:

Q14: Can notification of ‘no objection’ be sent to a third party other than my employer, e.g. Personal Assistant?

See response to Q13.

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