RFS (LBG) Contractor Registration Pack

CONTRACTOR REGISTRATION PACK
NAME: _ START DATE:
LOCATION: ROLE:
Please note: All documents must be hand signed and fully completed in order to progress your Registration Pack.
All documents that have been electronically signed and not fully completed will be returned. This will result in you
delaying the vetting process and potentially missing your agreed start date.
1. Right to Work in UK
EU Resident Photo page
Inner Two Pages
Non-EU Resident Residence Permit/ Visa (If Required)
2. Proof of Address
(within 3 months of commencing assignment) Document 1: …………………………… Document 2: ………………………………
3. 5 Years Address History Fully Completed & Signed Document
4. Application Form All 10 Pages Complete

Page 9 Declaration Signed
5. Confidentiality Agreement Pages 1 & 2 Completed

Signed Boxes on Page 6
6. LBG Documents LBG Code of Personal Responsibilities Declaration
LBG Confidentiality Undertaking
Previous Employment and Performance Disclaimer
7. Contractually Required Documents Certificate of Incorporation VAT (If Applicable)
Professional Indemnity Cert. Self Billing Agreement (Signed)
OR
Umbrella: ……………………………………………………………………………………………
8. Conflict of Interest Document Completed Form and Signed Declaration
I confirm that I have, Checked, dated and signed all documents and realise that in the event of this pack being
incomplete that my application will not be processed any further.
Signed…………………………………………………. Date……………………………………………
Nov 18/V 1
Consumer Credit Check
CONSUMER CREDIT CHECK ON RFS Group Ltd Contractors
TO: Credit Referencing Team

FROM: [contact name at RFS]
BRANCH: Swindon, RFS
DATE: [Complete]
CONTACT NO: [Complete]
E MAIL: [Complete@rfsgroup.net]
DIVISION: e.g.
CAN YOU PLEASE CREDIT CHECK THE FOLLOWING:
CANDIDATE DETAILS
Title (Mr/Mrs/Miss/Ms
etc)
Forenames (Including
any Middle Names)
Surname
Maiden Name or any
Former Names
Date of Birth
5 Year Address History
Please provide details of all residences including any term-time university addresses to cover a full and
continuous 5 year period.
ADDRESS POSTCODE DATES LIVED AT
ADDRESS
Full address required, including (Months & Years
Flat/House number, House Name, Required)
Street Name and Town or City
From:
To:
From:
To:
From:
To:
From:
To:
From:
To:
Mar 16/V 1 1
Consumer Credit Check
Character
1. Have you ever had any County Court Judgments or Court Decrees registered against you now or in
the past?
2. Have you ever been declared Bankrupt or had any Judgement for Debt entered against you, or had
any statutory Demand for Debt served on you?
3. Have you ever had your assets seized or frozen by a Court or a Court Order, or are you aware of any
pending proceedings against you?
4. Have you ever been unable to repay any debts or have you ever come to a compromise settlement
with your creditors? (Even if the debt is now settled or up to date this will still show on your credit
search results, so please advise us).
5. Are you currently in arrears with any loans, such as a mortgage, or have you been in the last five
years? (Even if you have missed one month’s payment and caught up the following month this will
still show on your credit search results, so please advise us).
6. Are you currently exceeding an overdraft facility, or have you been in the last 3 years?
7. Have you ever had a default registered against you? (This includes any settled defaults, as these will
still show on your credit search results).
8. Have you ever been refused bank account facilities, including charge/credit cards or had them
withdrawn?
9. Have you ever had some form of default/arrears but are unsure of the full details? – if this is the case
please raise with the RFS Consultant who will assist you with this form completion).
If you answered YES to any of these questions, please provide details including dates and amounts (continue on a
separate sheet if needed)
QUESTION DETAILS AMOUNT DATES
I agree that Regulatory Finance Solutions Group Ltd, or any of its subsidiary companies, may conduct
a credit check to verify my personal financial status.
APPLICANT’S SIGNATURE:
DATE:
(RFS must hold a signed copy on file for audit purposes. For RFS please complete the above with “Signed Copy Held on
File” and / or “emailed copy”?
Please note this credit check / history details may be passed on to a client for further vetting if required)
Mar 16/V 1 2
www.rfs.co.uk Application Form v5
Please read and complete the form in FULL, in BLOCK CAPITALS using BLACK INK and ensure you HAND SIGN in the
required areas. Failure to provide all relevant information could delay any potential start dates.
1 - COMPANY DETAILS
Please complete either section (a) or section (b). If you are unsure which applies, please ask your Resourcer for advice.
(a) Limited Company Details
Company name:
1st Line Registered Address:
Town/City: Telephone number:
Postcode (Country if not in the UK): Email Address:
Company registration number: Date of incorporation:
Contact name: Nature of business:
Professional Indemnity expiry date: VAT Registered? Yes / No

Continuous policies must have an
up to date certificate proving validity VAT registration number:
Company Accountant Details
Company/Contact name:
1st Line Address:
(b) Umbrella Company Details
Company name:
1st Line Registered Address:
Any trading styles (e.g X Ltd t/as Y): VAT Registration no:
Regulatory Finance Solutions Limited, registered in England with company number 05488515.
Registered address: Priam House, Fire Fly Avenue, Swindon, SN2 2EH. VAT Number: 866 889 246.
A list of directors is available at the address above.
2 - DETAILS OF PROPOSED PERSONNEL
(a) • The client’s site is secure and individuals with access to its systems must regularly undertake
compliance and vetting checks
• Please duplicate this section if providing more than 1 resource
• Details submitted must match the legal identification documents provided
• Abbreviations or nicknames are NOT acceptable
Title: Miss/Ms/Mrs/Mr/Other Surname:
Forename(s):
Maiden Name OR any Former Names: Date of name change:
Date of Birth: Place of Birth (Town & Country):
Nationality: National Insurance No:
Mother’s maiden name (required for Disclosure Scotland):
Do you have a UK driving licence? Driving licence number (required for Disclosure Scotland):
Yes / No
Passport Number Visa type (if applicable):
Visa number:
Place of issue:
Expiry date: Expiry date:
:
(The individual(s) proposed to carry out the consultancy services will be required to present their original documents at a
meeting with RFS. A copy of specific parts of the passport (or Visa if required) will be held on record as proof of right to work in
the UK).
Are you subject to immigration control? Yes / No
If yes, do you have unrestricted entitlement to take up employment in the UK? (Proof of entitlement is required.)
Yes / No
Current Employment Employed/Unemployed/Contracted Availability – Start Date:
Status:
Relationship to the limited company or umbrella company listed in part 1 (e.g. employee, director):
(b) Contact Details:
Telephone: Home:
Mobile:
Work:
Email Address:
Next of kin Name:

(in the event of
an emergency) Relationship:
Contact details:
(c) Educational/Academic History
Name of Dates attended

Level of Grade Do you have the
School/Academic Course Title/Subject
From To Study obtained original certificate?
Institution
Yes / No
Yes / No
Yes / No
(d) Professional/Financial qualifications/memberships - Please record all obtained membership of

professional bodies and your registration/membership number
Qualification/body/Institute/licence
Do you have the
Include student membership Date obtained Membership/Category level
original certificate?
details
Yes / No
Yes / No
Yes / No
(e) Credit/Debt Related Checks - (If you have had some form of default/arrears and are unsure of the full details,
please raise with the RFS Consultant who will assist you with this form completion).
1. Have you ever had any County Court Judgements or Court Decrees been registered against you
Yes / No
now or in the past?
2. Have you ever been declared bankrupt or had any judgement for debt entered against you,
Yes / No
or had any statutory Demand for Debt served on you?
3. Have you ever had your assets seized or frozen by a court or a court order, or are you
Yes / No
aware of any pending proceedings against you?
4. Have you ever been unable to repay any debts or have you ever come to a compromise
settlement with your creditors? (Even if the debt is now settled or up to date this will still Yes / No
show on your credit search results for a period of 6 years, so please advise us).
5. Are you currently in arrears with any loans, such as a mortgage, or have you been in the last 6
years? (Even if you have missed one month’s payment and caught up the following month Yes / No
this will still show on your credit search results, so please advise us).
6. Are you currently exceeding an overdraft facility, or have you been in the last 3 years?
Yes / No
7. Have you ever had a default registered against you? (This includes any settled defaults, as
Yes / No
these will still show on your credit search results).
8. Have you ever been refused bank account facilities, including charge/credit cards or had
Yes / No
them withdrawn?
You may have had some form of default/arrears and you’re unsure of the full details – if this is the case please
raise with the RFS Consultant who will assist you with this form completion.
If you have answered YES to any of the questions above, please declare full details below:
(f) Criminal and Civil Record Checks
1. Have you ever been convicted of a criminal offence (subject to the

Rehabilitation of Offenders Act 1974?
Yes / No
2. Are there any criminal or disciplinary charges pending against you?
Yes / No
3. Are you currently engaged in or have you ever been involved in litigation with your current or former
employer, which has resulted or may result in a court or tribunal or a settlement by negotiation, Yes / No
arbitration, mediation or an alternative dispute resolution procedure?
4. Have you ever been the subject of a civil action that resulted in a finding e.g. fine or
judgement against you in the UK or elsewhere? Yes / No
5. Have you ever had a judgement debt (including County Court
Judgement CCJ) made under a court order in the UK or elsewhere or an individual voluntary Yes / No
arrangement (or in Scotland, a trust deed) with creditors?
6. Have you ever entered into a deed arrangement with creditors?
Yes / No
7. Have you ever failed to satisfy any such judgement debts within one year of the making of the
order?
Yes / No
8. Have you ever been declared bankrupt or is any such action pending?
Yes / No
(g) Other Actions and Disqualifications
1. Have you ever been or are you currently the subject of any investigation or disciplinary
procedure in relation to your business or professional activities? Yes / No
2. Have you ever been criticised, censured or disciplined by any organisation in relation to your
business or professional activities? Yes / No
3. Have you ever been refused or had membership revoked of any professional body you have
been a member of, or applied for membership to? Yes / No
4. Have you ever been disqualified by a court from acting as a director of a company or from being
concerned with the management of any company, partnership or unincorporated company? Yes / No
(h) Vetting Questions
1. Have you ever been convicted of any offence whether or not spent under the Rehabilitation of
Offenders Act 1974 involving fraud, theft, false accounting, serious tax offences, corruption
offences, offences against public justice (e.g. perjury), other dishonesty or an offence under
legislation (whether or not in the UK) relating to companies, building societies, industrial and Yes / No
provident societies, credit unions, friendly societies, insurance, banking or other financial
services, insolvency, consumer credit, consumer protection, money laundering, market
manipulation or insider dealing?
2. Have you any outstanding financial obligations arising from regulated activities, which you have
conducted in the past whether in the UK or elsewhere? Yes / No
3. Have you ever been found guilty of conducting any unauthorised regulated activities or been
investigated for possible conduct of unauthorised regulated activities? Yes / No
4. Has the company, partnership or unincorporated association of which you have been a director,
controller, senior manager partner or company secretary in the UK or elsewhere at any time during
your involvement or within one year of such an involvement:
a) Been put into liquidation, wound up, ceased trading had a receiver or administrator
appointed or entered into any voluntary arrangement with its creditors? Yes / No
b) Been adjudged by a court liable for any fraud, misfeasance, wrongful trading or other
misconduct? Yes / No
c) Been investigated or been involved in an investigation by an inspector appointed under the
companies or any other legislation, or required to produce documents to the secretary of state or Yes / No
any authority, under any such legislation?
d) Been convicted of any criminal offence, censured, disciplined or publicly criticised by any
inquiry by the takeover panel or any government or statutory authority or any other Yes / No
regulatory body?
(i) Business Interest

1. Are you or have you ever been an officer (either as a Director or company secretary) or a partner
of any company other than in a capacity specified in the employment history section? Yes / No
Business
2. Interest
Do you own more than 15% of any corporate body? Yes / No
1. 3.AreAre
youyou
or have
currently
you engaged
ever been
in an
anyofficer
other outside
(either as
business
a Director
activity
or company
or employment
secretary)
not stated
or a
elsewhere
Yes / No
partner of anyincompany
this form?other than in a capacity specified in the employment history section? Yes / No
4. Do you or any member of your family have a business interest, employment obligation or are there
2. Do youany other situations
own more thanthat
15%would
of anyconflict, appear
corporate to conflict with the role for which you are
body? YesYes
/ No/ No
applying?
3. Are you currently engaged in any other outside business activity or employment not stated
If you have answered YES to any of the questions above, please declare full details below: Yes / No
elsewhere in this form?
4.Do you or any member of your family have a business interest, employment obligation or are
there any other situations that would conflict, appear to conflict with the role for which you Yes / No
are applying?
(j) Journalistic/Media Activity
Please confirm if you are or have been involved in journalism or with any form of media activity whilst in
employment, self-employment, in a voluntary capacity, whilst in education or in any business capacity Yes / No
(j) within the UK or overseas.
(i)
If you have answered YES to the above question, please declare full details below:
(k) Motor Offences/Convictions
Please confirm if you have had any motor offences or convictions.

Yes / No
(k) If you have answered YES to the above question, please declare full details below:
(l) Overseas Work/Employment
Have you worked/provided consultancy services overseas (paid or unpaid) or been on a gap year within the
Yes / No
past 5 years?
(k) If you have answered YES to the above question, please provide evidence and details below (i.e. visa stamps, travel tickets,
references)
3 - REFERENCES FOR PROPOSED INDIVIDUALS
(a) • Character References - Where you have been in Education or had period(s) of unemployment, please supply
the names of Professional/Qualified persons who can provide character references. (i.e. Teacher/Lecturer,
Doctor, Dentist, Director of a company etc.).
• Please duplicate this section if you are proposing to supply more than one person.
(a)
Name of 1st referee:
Professional title/position:
Relationship & length of relationship:
Contact Details:
Do we have your permission to contact this person to obtain a reference, and if so, when may we do this: Y/N
FROM DATE:
Name of 2nd referee:
Professional Title/Position:
Relationship & length of relationship:
Contact Details:
Do we have your permission to contact this person to obtain a reference, and if so, when may we do this: Y/N
FROM DATE:
4 - CONTRACTUAL HISTORY FOR PROPOSED INDIVIDUALS AND/OR LIMITED COMPANIES

(a) 5 Year contract/employment history
Please detail the contractual history for the company listed in part 1(a), or your employment details where these are different, to cover a
minimum period of 5 years – or since leaving full-time education. Please ensure you cover any gaps in your history including any temporary work
through agencies or self-employment.
(a) Current/most recent employment/contract:
Employer/client name: Agency name (if applicable):
Job title/services provided: Reason for leaving:
1st Line Address: Dates employed/contracted: (dd/mm/yyyy)

From: To:
Town/City: Employee No:
(if applicable)
Postcode (Country if not in the UK): Salary/Hourly/Day Rate:
Reference Details Contact Name & Job Title:
Telephone Number: Email Address:
Do we have your permission to contact this person to obtain a reference, and if so, when may we do this: Y / N
FROM DATE:
Reason for any gaps in employment/the contract:
4 – CONTRACTUAL HISTORY (CONTINUED)
Previous contract/employment 2:

From: To:
(if applicable)
FROM DATE:

From: To:
(if applicable)
FROM DATE:
4 – CONTRACTUAL HISTORY (CONTINUED)

From: To:
(if applicable)
FROM DATE:

From: To:
(if applicable)
FROM DATE:
Please include additional employment/contractual history on a separate sheet of paper.
5 - DECLARATION AND AUTHORISATION
Please read and ensure you understand the full content below before signing.
I certify that to the best of my knowledge the information given within this document is true and complete. I
understand that any offer made is based upon the information provided and that any offer is conditional upon
verification of all checks being concluded on the information given.
I understand that the provision of any misleading information may be a legitimate cause for Regulatory Finance
Solution Ltd to immediately withdraw any offer, or if the project has already commenced, any contract that exists
between all parties concerned may be terminated without notice.
To be completed by relevant employees of the Associate Company (please duplicate this section as required)
Please tick the boxes to demonstrate your consent: Tick
I consent to Regulatory Finance Solutions Ltd and its vetting partners making enquiries to schools, colleges,
universities, agencies and employers to confirm that all I have stated is true and correct.
I acknowledge that references provided to Regulatory Finance Solutions Ltd and its vetting partners are given in
confidence and at my express request (where such consent has been provided), and I agree that I will make no claim
for compensation or raise any complaint under the Data Protection Act 2018 or under the General Data Protection
Regulation ((EU) 2016/679)) against such a referee, its agent and or employees, or against Regulatory Finance Solutions
Ltd and its vetting agent arising out of disclosure of such information.
I understand and agree that investigative enquiries to ascertain my suitability to be on the end client’s site, access
personal data of the end client’s customers and to provide consultancy services may be made on me including
enquiries involving:
• consumer credit;
• motor vehicles/driving;
• sanction checks;
• CIFAS (fraud) checks.
I authorise Regulatory Finance Solutions Ltd, via its authorised vetting partners, to apply for a Basic Disclosure Scotland
check and/or Disclosure and Barring Service checks (criminal records check) on my behalf online, to receive and
process the results of the checks at its registered address.
The end client (i.e. the company who would receive your services) has a legitimate interest in viewing the checks carried out on
you.
Adverse findings (e.g. fraud) may be reported to/listed on relevant fraud protection databases and the legal basis for such
processing is the legitimate interest of a third party. Please contact us at Regulatory Finance Solutions Ltd, Priam House, Fire
Fly Avenue, Swindon, Wiltshire, SN2 2EH if you would like to receive details of the relevant fraud prevention databases through
which we share information.
By signing and printing my name below, I confirm that I have read and understood the statements listed above and agree to
them and I give consent for Regulatory Finance Solutions Ltd to process and store my personal data for the purposes listed
above.
Signed by the individual(s) whose details have been provided above:
Print Name(s): Signature(s): Date:
Signed for and on behalf of the limited company listed at paragraph 1(a), above
Print Name: Signature:
Limited Company Name: Role:
Date:
To be completed by Regulatory Finance Solutions Ltd
Confirm that the candidate is not and has not been involved in any journalism or with any
form of media activity whilst in employment, self-employment, in a voluntary capacity, Yes
whilst in education or in any business capacity within the UK or overseas.
Confirm that the candidate has no motor offences/convictions.
Yes
Comments
RFS consultant signature:
Print name: Date:
RFS Privacy Notice for Associate Companies and the Employees of Associate Companies
At Regulatory Finance Solutions Limited (RFS), we are serious about protecting the privacy of our users. This Privacy Notice
describes how we collect, use and protect the personal information of your employees when you decide to contract with RFS.
Use of the RFS website (www.rfs.co.uk) or any other RFS websites (collectively, the “Site”) is covered by the website privacy
notice (privacy notice).
In this Privacy Notice, ‘you’ or ‘Associate Company’ refers to the limited company interested in, or contracting with, RFS, and its
employees.
This Privacy Notice applies to the personal data collected and processed when you show an interest in contracting with RFS,
when vetting checks are carried out, and to support the ongoing relationship between you and RFS.
What is Regulatory Finance Solutions?

Regulatory Finance Solutions specialises in resourcing and regulatory management consultancy. We are part of the RFS group of
companies, but please note that this Privacy Notice applies only to Regulatory Finance Solutions website in the European
Economic Area.
In this Privacy Notice, we use the term "RFS" to refer to Regulatory Finance Solutions Limited and all its affiliated group
companies, including those group companies in the wider RFS group of companies.
The Site is intended for use by individuals who are over 18 years of age.
Who processes your personal information?

Information that can identify you ("personal information") will be collected, processed, stored and used by us, and passed to
and processed by companies in RFS and other third-party data processors acting under our instructions or those of one of the
companies in the RFS. These people may be engaged in, amongst other things, the fulfilment of information requests and the
provision of support tools and services both on the Site and from the company. They may also be helping us maintain the
integrity and security of the Site and of our internal systems, including processing services and emails and messaging platforms
on the Site.
The information we collect

At various times you may give information to us. This includes information that can identify you, including your first and last
name, telephone number, postal and email addresses and information relating to the vetting of your employees.
How we use your personal information

Our primary purpose in collecting the personal information of your employees is to comply with RFS’s, and the end client’s,
compliance and vetting checks. We may use the personal information for the following purposes:
• To provide you with information on the services you requested on the Site, or by contracting RFS, or to support your request;
• To contact you from time to time with queries on the service you provide or opportunities that may be of interest to you;
• To send other messages that are useful to the services you may wish to provide/are providing to RFS;
• To carry out compliance and vetting checks on your employees (with their consent), including identity checks, proof of right to
work, proof of address, Disclosure and Barring Service checks, Basic Disclosure Scotland check, credit checks (via Equifax),
employment history checks, 5 years of address history, proof of relevant qualifications, sanction checks and to contact named
referees. These checks may be carried out by a third-party provider;
• The personal information we have collected from you/your employees will also be shared with Cifas who will use it to prevent
fraud, other unlawful or dishonest conduct, malpractice, and other seriously improper conduct. If any of these are detected,
you could be refused the offer of a contract or the contract may be terminated early. The personal information you/your
employees have provided will also be used to verify your identity. Further details of how your information will be used by us
and Cifas, and your data protection rights, can be found by contacting our Data Protection Officer at dpo@rfs.co.uk.
• To decide whether or not RFS wishes to enter into a contract with you;
• To inform the end client of the details of the Associate Company, to include details of the Associate Company’s employees
who will be on the end client’s premises and/or providing consultancy services to the end client;
• As part of RFS’s internal and external audit programme and the end client’s audit programme;
• To detect, investigate and prevent activity we think may be potentially illegal, unlawful or harmful and to enforce our Privacy
Notice and/or the terms of any contract between you and RFS;
• To help us meet any other legal and compliance obligations, for example, providing information on you to HMRC.
We will comply with data protection law. This says that the personal information we hold about you must be:
• Used lawfully, fairly and in a transparent way.

• Collected only for valid purposes that we have clearly explained to you and not used in any way that is incompatible
with those purposes.
• Relevant to the purposes we have told you about and limited only to those purposes.
• Accurate and kept up to date.
• Kept only as long as necessary for the purposes we have told you about.
• Kept securely.
How we may disclose your personal information

We may disclose your personal information to enforce our policies, implement our contracts, defend and protect the rights,
property or safety of RFS, the Site and the users of the Site, to comply with our legal obligations or in the interest of national
security, public interest or law enforcement in any country where RFS has entities or affiliates. For example, we may respond to
a valid request by a law enforcement agency or regulatory or governmental authority (including tax authorities). We may also
disclose data in connection with actual or proposed litigation, or to protect our property, people and other rights or interests.
We share your information with third parties (including other RFS affiliates) who help deliver our products and services to you.
Examples include third parties who are hosting our web servers, analysing data, and providing marketing assistance. These
companies will have access to your personal information as necessary to perform their functions, but they may not use that data
for any other purpose.
We may also share your personal information as follows:

• If you opt in to receive information about the opportunities, products, or services of third parties, we supply your contact
information to those third parties, so they may contact you;
• With Companies within RFS.
• If any part of RFS is sold, or some of its assets transferred to a third party, your personal information may also be
transferred. Potential purchasers and their advisors may have access to data as part of the sale process. However, use of
your personal information will remain subject to this Privacy Notice. Similarly, your personal information may be passed
on to a successor in interest in the unlikely event of a liquidation, bankruptcy or administration. Our Client and user
database could be sold separately from the rest of the business, in whole or in several parts. It could be that the
purchaser’s business is different from ours too.
All our third-party service providers and other entities in the group are required to take appropriate security measures to protect
the personal information of your employees in line with our policies. We do not allow our third-party service providers to use
your personal data for their own purposes. We only permit them to process your personal data for specified purposes and in
accordance with our instructions.
We may also share anonymised information with third parties, including investors. This information does not contain any
personal information.
International data transfers

Personal information about you may be stored and processed in any country in which we, our affiliates, or service providers
maintain facilities, (including countries like the USA) which are outside of the country or region in which you reside.
These countries may not have data protection laws as comprehensive as those in your country or region, but we take steps to
ensure that your privacy is protected in accordance with this Privacy Notice at all times.
By using our services, you understand that your personal information may be transferred to our facilities and those of our
service providers as described in this Privacy Notice.
Telephone calls
We frequently record telephone conversations for quality assurance and training purposes. Those recordings are also governed
by this Privacy Notice and we keep this data in the same way that we keep other data. Our call recording service is monitored
and run by RFS directly, so call recordings are protected in the same way as all personal information we process. Our system
does not hold call recordings indefinitely, so please gain from RFS written confirmation of call details, where you require a
permanent record.
Automated decision-making
You will not be subject to decisions that will have a significant impact on you based solely on automated decision-making.
Electronic communications
Emails will be available for review by our employees and agents, who may use any such information as part of the services we
provide.
Our system does not hold messages indefinitely and they may not be accessible after the message has been delivered to
you. Please therefore print a copy of any message which is important to you.
How do we protect your personal information once we have it?

We take appropriate technical and organisational measures to guard against unauthorised or unlawful processing of your
personal information and against accidental loss or destruction of, or damage to, your personal information. Whilst no system is
completely secure, we believe the measures implemented by RFS reduce our vulnerability to security problems to a level
appropriate to the type of data involved. We have security measures in place to protect our user database and access to this
database is restricted internally.
Note that, despite the measures taken by us and the third parties we engage, the internet is not secure. As a result, others may
nevertheless unlawfully intercept or access private transmissions or data.
How do I correct or update my information?

Please email info@rfs.co.uk or write to us at Priam House, Fire Fly Avenue, Swindon, SN2 2EH to correct any information we are
holding that you believe is incorrect.
How long will we keep your personal information?

We will retain your personal information for as long as is necessary for the purposes to which it was collected.
• Where you provide services to RFS, information will be retained for 6 years from the date on which your contract ends.
We do this to show we carried out appropriate checks.
• Where you and/or RFS decide not to proceed with a contract, information will be retained for 6 months. We do this so
that we can show, in the event of a legal claim, that we have behaved in a fair and transparent way.
• Call recordings are kept for approximately 30 days.
After these periods, we will securely destroy personal information in accordance with our data retention policy.
What are my legal rights?

Under certain circumstances, your employees whose personal information we hold have rights under data protection laws to:
• Request access to their personal information (commonly known as a "data subject access request"). This enables them to
receive a copy of the personal information we hold about them and to check that we are lawfully processing it.
• Request correction of the personal information that we hold about them. This enables them to have any incomplete or
inaccurate information we hold about corrected.
• Request erasure of their personal information. This enables them to ask us to delete or remove personal information
where there is no good reason for us continuing to process it. They also have the right to ask us to delete or remove the
personal information where they have exercised their right to object to processing (see below).
• Object to processing of their personal information where we are relying on a legitimate interest (or those of a third party)
and there is something about their particular situation which makes them want to object to processing on this ground.
They also have the right to object where we are processing their personal information for direct marketing purposes.
• Request the restriction of processing of their personal information. This enables them to ask us to suspend the processing
of personal information about them, for example if they want us to establish its accuracy or the reason for processing it.
• Request the transfer of their personal information to another party.
If you wish to exercise any of the rights set out above, please contact us at dpo@rfs.co.uk.
Usually, no fee is required

You will not have to pay a fee to access your personal data (or to exercise any of the other rights). However, we may charge a
reasonable fee if your request is clearly unfounded, repetitive or excessive. Alternatively, we may refuse to comply with your
request in these circumstances.
What we may need from you

We may need to request specific information from you to help us confirm your identity and ensure your right to access your
personal data (or to exercise any of your other rights). This is a security measure to ensure that personal data is not disclosed to
any person who has no right to receive it. We may also contact you to ask you for further information in relation to your request
to speed up our response.
Time limit to respond

We try to respond to all legitimate requests within one month. Occasionally it may take us longer than a month if your request is
particularly complex or you have made several requests. In this case, we will notify you and keep you updated.
When was this Privacy Notice last updated?

This Privacy Notice was last updated on 2nd November 2018. We may occasionally amend this Privacy Notice to reflect regulatory
requirements, advances in technology, Site updates and changes in our information collection and disclosure practices. Any new
policy will automatically be effective when it is published on the website or when it is sent to you. You should therefore return to
the Site regularly to view our most up to date Privacy Notice. You should also print a copy for your records.
DATA CONTROLLER
The data controller for any personal information you provide to us in connection with supplying your services to RFS is
Regulatory Finance Solutions Limited, Registered address: Priam House, Fire Fly Avenue, Swindon, Wiltshire, SN2 2EH.
Regulatory Finance Solutions Limited is registered with the Information Commissioner's Office under registration number
Z3165207.
Where Cifas decides the purpose and means of the processing, it will also be a data controller for that personal data.
If you have any questions about this Privacy Notice, we encourage you to contact us info@rfs.co.uk .
If you are unhappy with their answers you can also contact our Data Protection Officer at dpo@rfs.co.uk.
Confidentiality Agreement
THIS CONFIDENTIALITY AGREEMENT is made on the __________________ (date)
BETWEEN:
(1) Regulatory Finance Solutions Limited (Discloser) a company incorporated in

England and Wales (company number 05488515) whose registered office is at Priam
House, Fire Fly Avenue, Swindon, Wiltshire, SN2 2EH (“RFS Ltd”).
(2) ______________ (Recipient) a company incorporated in England, Wales and Scotland

(company number) _________________whose registered office is at (address)
_____________________________________________________________________
(A) Each Party may be required to disclose to the other information that is regarded as
confidential relating to the Purpose.
(B) The Parties, whilst acknowledging that they have a general duty of confidentiality to
each other, wish to further define and protect their rights in relation to the
Confidential Information.
Mar 16/V2 1
IT IS AGREED AS FOLLOWS:
1. INTERPRETATION AND DEFINITIONS
“Confidential Means all information of a confidential or proprietary nature (including information

Information” imparted orally) whether or not marked as confidential and whether in written,
electronic or other form relating to the Discloser including but not limited to its services,
products, processes, commercial and financial information, know how, trade secrets,
agreements with third parties; this Agreement; customer information, potential or actual
customers and suppliers revealed to or learnt by the recipient, its employees and
advisers from the _____________ (date) signed together with any Copies but excludes
Excluded Information;
“Copies” Means copies of Confidential Information including any document, electronic file, note,
extract, analysis or any other way of representing or recording and recalling
information which contains, reflects or is derived from the Confidential Information;
“Discloser” Means the Party to this Agreement that discloses Confidential Information directly or
indirectly to the Recipient under, or in anticipation of, this Agreement;
“Excluded Means information that:

Information” a. Is or becomes public knowledge other than as a direct or indirect result of
The information being disclosed in breach of this Agreement by the
Recipient or anyone to whom the Recipient has disclosed the information;
b. Lawfully becomes available to the Recipient from a third party free from
any confidentiality restriction prior to its disclosure;
c. The Parties agree in writing that it is not Confidential Information;
“Group Means, in respect of a company, any company which is a subsidiary of that company, a
Company” holding company of that company or a subsidiary of that holding company;
“Recipient” Means the Party to this Agreement that receives Confidential Information, directly or
indirectly from the Discloser;
“Parties” Means RFS and (Recipient company’s name) ________________________ and 'Party'
will be either one of them;
“Purpose” Means all information shared between Regulatory Finance Solutions Limited and
(applicant/company name) ________________________ will be regarded as
confidential relating to the ‘Purpose’;
RFS Means Regulatory Finance Solutions Ltd and any company in its group.
Mar 16/V2 2
2. RECIPIENT’S OBLIGATIONS
2.1 When, or if, the Discloser makes a disclosure of Confidential Information to the Recipient, the
Recipient shall:
2.1.1 Keep the Confidential Information and the Purpose secret and take all necessary steps
to preserve such secrecy;
2.1.2 Use the Confidential Information only for the Purpose;
2.1.3 Not disclose the Confidential Information to anyone or to make Copies other than as
provided under this Agreement;
2.1.4 Without limiting clause 2.1.2 not use Confidential Information directly or indirectly to
procure a commercial advantage over the Discloser;
2.1.5 Use all reasonable endeavours to ensure that the Confidential Information (and any
Copies within its control) is protected against theft or unauthorised access and that no
one discovers Confidential Information from the Recipient other than those persons
authorised under this Agreement;
2.1.6 Comply with the Data Protection Act 2018 or under the General Data Protection
Regulation ((EU) 2016/679)) where applicable; and
2.1.7 Inform the Discloser immediately upon becoming aware, or suspecting, that the
Confidential Information has been communicated or disclosed to an unauthorised third
party.
2.2 The Recipient is not permitted to introduce, discuss or suggest any third party contacts under
this Agreement without the express permission of the Discloser.
2.3 The Recipient is not permitted to discuss any financial arrangements relating to the Purpose.
3. PERMITTED DISCLOSURE
3.1 The Recipient may disclose the Confidential Information only:
3.1.1 To such officers and employees of the Recipient as are strictly necessary for the
Purpose;
3.1.2 To professional advisers or consultants engaged to advise the Recipient in connection
with the Purpose;
3.1.3 To any person who the Discloser agrees in writing may receive the Confidential
Information;
3.1.4 To the extent permitted by clauses 4 below; and the Recipient shall ensure that anyone
to whom it discloses the Confidential Information as permitted in this clause 3.1 (other
than disclosures under clause 4) shall comply with the terms of this Agreement as if
they were the Recipient.
4. FORCED DISCLOSURE
4.1 The Recipient may disclose Confidential Information to the minimum extent required by:
4.1.1 Any order of any court of competent jurisdiction or any competent judicial,
governmental or regulatory body;
4.1.2 The rules of any stock exchange on which the shares of any company in the Recipient
(and/or a Group Company) are listed; or
4.1.3 The laws or regulations of any country with jurisdiction over the affairs of the Recipient
and/or its Group Company.
4.2 Before the Recipient discloses any Confidential Information under clause 4, the Recipient must
(to the extent permitted by law) use reasonable endeavours to:
4.2.1 Inform the Discloser of the full circumstances and the information that will be
disclosed; and
Mar 16/V2 3
4.2.2 Gain assurances as to confidentiality from the body to which the Confidential
Information is to be disclosed.
4.3 The Recipient must co-operate with the Discloser in bringing any legal or other proceedings to
challenge the validity of the requirement to disclose.
4.4 If the Recipient is unable to inform the Discloser before Confidential Information is disclosed,
the Recipient will (to the extent permitted by law) inform the Discloser immediately after the
disclosure of the full circumstances of the disclosure and the Confidential Information that has
been disclosed.
5. COPIES
5.1 The Recipient may only make such Copies as are strictly necessary for the Purpose and for
disclosures that are strictly necessary for the Purpose and for disclosures that are not in breach
of this Agreement.
5.2 All Copies of Confidential Information made by the Recipient will contain the same proprietary
and confidentiality notices as detailed on the original Confidential Information.
5.3 The Recipient will ensure that Copies supplied to it, or made by it, can be separately identified
from its own information.
5.4 Upon the Discloser’s written request, the Recipient must immediately supply the Discloser with
a list showing, to the extent reasonably practical, where Copies supplied to the Recipient by the
Discloser are held.
6. RETURN OF CONFIDENTIAL INFORMATION

6.1 At the written request of the Discloser,the Recipient shall:
6.1.1 Immediately return all Confidential Information (and related Copies) in its possession or
control; or
6.1.2 Confirm in writing that it has destroyed or permanently erased all the Confidential
Information and Copies supplied to or made by it or any employee, adviser or other
person under its control.
6.2 As an exception to its obligations under clause 6.1, the Recipient may retain one Copy of the
Confidential Information in paper form, in the Recipient’s legal files for the purpose of ensuring
compliance with the Recipient’s obligations under this Agreement.
7. NO RIGHTS GRANTED
7.1 Confidential Information and all rights in the Confidential Information disclosed or to be
disclosed under this Agreement will remain the exclusive property of the Discloser or its
assignee and shall be held in trust for the benefit of the Discloser. The Recipient will have no
rights in respect of the Confidential Information other than as expressly set out in this
Agreement.
7.2 The Confidential Information supplied will not constitute an offer or invitation or form the basis
of any contracts.
8. LIABILITY AND REMEDIES

8.1 Neither the Discloser, nor any of its Group Companies, gives any warranty or representation,
express or implied, in respect of the accuracy or completeness of the Confidential Information.
The Recipient agrees that it must make its own assessment of all Confidential Information
disclosed by the Discloser and satisfy itself as to the accuracy and completeness of the
Confidential Information.
Mar 16/V2 4
8.2 The Discloser shall not be liable for any errors or omissions in the Confidential Information nor
for any loss incurred by the Recipient either directly or indirectly through the use of, or as a
result of, the use of the Confidential Information.
8.3 The Confidential Information supplied and/or the existence and nature of the Purpose may be
price sensitive. Each Party will bring to the attention of all persons governed by this Agreement
the prohibitions on dealings by insiders, as set out in the Criminal Justice Act 1993 or any other
relevant legislation (including for the avoidance of doubt, the Financial Services and Markets
Act 2000), where Confidential Information may relate to a company listed on one of the
recognised stock exchanges.
8.4 The Recipient acknowledges that in the event of a breach of the terms of this Agreement,
damages alone may not be an adequate remedy and injunctive relief would be an appropriate
remedy. Any failure by the Discloser at any time to enforce any provisions of this Agreement
shall not prejudice any future enforcement of any right in this Agreement.
9. DURATION
9.1 This Agreement shall continue for a period of 3 years from the date of this Agreement.
9.2 The obligations under this Agreement with respect to Confidential Information received prior
to any termination or expiration of this Agreement shall survive this Agreement unless and until
the Confidential Information in question enters the public domain other than as a result of a
breach of this Agreement by any Party.
10. NON-SOLICITATON
The Parties agree that neither Party shall during the term of this Agreement and for a period of 12
months from the expiry of this Agreement, approach or solicit directly or indirectly any of the
employees/consultants of the other Party, or clients of the Discloser without prior written consent.
11. THIRD PARTIES

11.1 In this clause “third party” shall mean any person other than the Parties or any Group Company
of the Parties.
11.2 A third party shall have no rights under the Contracts (Rights of Third Parties) Act 1999 to
enforce any terms of this Agreement.
11.4 This clause shall not affect any rights or course of action that may exist under the Contracts
(Rights of Third Parties) Act 1999.
12. WAIVER
12.1 Failing to exercise any right under this Agreement, or a single or partial exercise of a right under
this Agreement, does not preclude the further exercise of that right, or the exercise of any
further rights under this Agreement.
12.2 Any waiver of a Party of any breach of this Agreement shall not be deemed to be a waiver by
that Party of any subsequent breach.
13. GENERAL
13.1 Neither Party may sell, transfer, or assign this Agreement.
13.2 No amendment to this Agreement is effective unless it is in writing, expressly purports to
amend this Agreement and is signed on behalf of each Party by a person duly authorised by
that Party.
Mar 16/V2 5
13.3 Where any provision of this Agreement is declared by any competent authority to be
void, voidable, illegal or otherwise unenforceable, that provision shall be severed from
this Agreement and the remaining provisions of this Agreement shall remain in full force
and effect.
13.4 This Agreement shall be construed in accordance with the laws of England & Wales and
all disputes, claims or proceedings between the parties relating to the validity,
construction or performance of this Agreement shall be subject to the exclusive
jurisdiction of the Courts of England & Wales.
AS WITNESS WHEREOF the Parties have executed this Agreement on the date set forth above.
Signed for and on behalf of Signed for and on behalf of
Regulatory Finance Solutions Limited Associate Company/Candidate

(RFS Ltd) By: By:
Name: Name:
Position Held: Position Held:
Signature: Signature:
Date: Date:
Mar 16/V2 6
LLOYDS BANKING GROUP
‘CODE OF PERSONAL RESPONSIBILITY’ DECLARATION
The LBG “Code of Personal Responsibility” has been prepared for your
information and understanding. All RFS contractors will be expected to adhere to
the ‘Codes of Responsibility’ in conjunction with LBG’s Personal Integrity Policy,
Ethics Policy and other Group Policies when working on LBG contracts.
PLEASE READ THE CODE OF RESPONSIBILITY CAREFULLY. Upon

completion of your review of the code, please sign the statement below, and return
it to the RFS HR department within 7 days of your start date.
I, , have received and read a

copy of LBG “Code of Personal Responsibility” which outlines the required
expectations.
I have familiarised myself, fully understand the content, and accept the contents of
this handbook and possible consequences.
By my signature below, I acknowledge, understand, accept and agree to comply

with the information contained within this code.
SIGNATURE …………………………………………………………………………….
NAME (BLOCK LETTERS) ………………………………………………………….
DATE ……………………………………
Lloyds Banking Group Confidentiality Undertaking
Regulatory Finance Solutions Ltd (“Supplier”) has entered an agreement (the “Agreement”) and an assignment work order with
Lloyds Banking Group Plc and its Affiliates (“Lloyds Banking Group”) pursuant to which,
[name of Professional Interim Worker] is to provide certain services, functions and
responsibilities to Lloyds Banking Group (the “Assignment”).
The Parties hereby agree that:
The performance of the Assignment requires certain information, including without limitation information relating to the business
affairs, products, services, developments, trade secrets, know-how, personnel, customers and agents of Lloyds Banking Group (the
“Confidential Information”), to be disclosed to Me in confidence by Lloyds Banking Group and the Supplier.
1. In consideration of Lloyds Banking Group being willing to disclose the Confidential Information to Me and consequently
allowing Me to perform the Assignment, I undertake as follows:
(a) to keep the Confidential Information in complete secrecy for the duration of this Confidentiality Undertaking and at
all times thereafter. I will not disclose the Confidential Information to, or discuss any aspect of the Confidential
Information with, anyone other than employees of Lloyds Banking Group (or Lloyds Banking Group third party
service providers where this is required as part of the Assignment) without the prior written consent of Lloyds
Banking Group, and I will not use the Confidential Information for any purpose other than in my performance of the
Assignment;
(b) on termination of the Confidentiality Undertaking, the completion of the Assignment, or on being requested to do
so by Lloyds Banking Group to return all of the Confidential Information together with any copies, notes, sketches,
drawings, photographs or other reproductions of it in my possession to the person so requesting; and
(c) not to make any copies, notes, sketches, drawings, photographs or other reproductions of the Confidential
Information without the specific written authority of Lloyds Banking Group. Any of the Confidential Information
placed in my possession will at all times be kept in my sight or in secure locked storage facilities.
2. If pursuant to or in consequence of performing the Assignment, I gain entry to any computer system or premises of Lloyds
Banking Group (including without limitation any building, office, software, hardware, firmware database or file) (“Access”) I
agree that all information obtained from time to time in consequence of Access will be Confidential Information. I undertake:
(a) that all Access shall be strictly limited to that part of the building, office, computer system, software, hardware,
firmware database or file (as the case may be) as is required for the proper performance of the Assignment, and I
shall not gain Access to any building, office, software, hardware, firmware, database or file of Lloyds Banking
Group without the express prior written consent of Lloyds Banking Group; and
(a) to comply with all rules and regulations of Lloyds Banking Group (including security audit and other procedures and
requirements) notified to Me from time to time in relation to Access.
3. I acknowledge and agree that nothing in my involvement with Lloyds Banking Group or my performance of the Assignment
shall be construed as granting Me any rights to any of the Confidential Information that I come into contact with or receive,
and that the unauthorised disclosure or use of Confidential Information could cause irreparable harm and significant injury
which may be difficult to quantify. Accordingly, I agree that Lloyds Banking Group shall have the right to seek an immediate
injunction to prevent any breach of the Confidentiality Undertaking, and I agree not to take any action to oppose or delay
any action or proceedings commenced by Lloyds Banking Group in connection with any such injunctive relief.
4. I agree that whilst attending any premises of Lloyds Banking Group I will abide by all rules and regulations notified to Me by
Lloyds Banking Group or the Supplier which for the avoidance of doubt may require Me to submit to a search of my personal
belongings such search to be carried out in the presence of a second member of Lloyds Banking Group staff and understand
that if I unreasonably refuse such a request Lloyds Banking Group shall be entitled to terminate the Assignment under the
terms of the Agreement with immediate effect.
5. In consideration of the mutual rights and obligations under this Confidentiality Undertaking I hereby irrevocably assign to
Lloyds Banking Group (free from any encumbrance) all rights title and interest (including all copyright, patents, registered
designs, trade marks, service marks, database rights, design rights and all other intellectual property rights (whether
registrable or not and in any jurisdiction)) (“Intellectual Property Rights”) in any Work Product (where “Work Product”
means without limitation any software, text, diagrams, document, artistic and graphical works, logos, data, databases,
information, methodologies, processes, reports, specifications, drawings, designs, formulae, business rules or
requirements, manuals, user guides, training materials, technical information, instructions and material relating to software
and/or its design, development, modification, operation, support or maintenance and any modifications of the same and all
other items of whatsoever nature, in whatever form (including written, magnetic, electronic, graphic or digitized), that I create
while performing the Assignment) and such assignment shall be an assignment (in respect of any copyright existing therein)
of future copyright pursuant to section 91 of the Copyright, Designs and Patents Act 1998 . I hereby
Created 14/04/2010
Responsibility: Audit & Compliance Team Page 1 of 2
unconditionally and irrevocably waive in relation to the Work Product (including in both source code and object code form)
all applicable moral rights conferred by Chapter IV of Part I of the Copyright, Designs and Patents Act 1988 and all author’s
rights of a similar kind conferred by the law of any jurisdiction that I may have in the Work Product.
6. For the avoidance of doubt, all Intellectual Property Rights in the Work Product shall vest in Lloyds Banking Group upon
their creation absolutely and I shall obtain no rights, title or interest in the Work Product whatsoever, except that I shall be
permitted to use the Work Product solely for the purposes of fulfilling my obligations in performing the Assignment.
7. In the event that an Affiliate suffers any loss or damage arising from the provision of the Assignment I agree that every term
of this Confidentiality Undertaking shall be enforceable by the relevant Affiliate by virtue of the Contracts (Rights of Third
Parties) Act 1999. Save as provided in this Clause 7, nothing in this Confidentiality Undertaking shall be deemed to grant
any rights or benefits to any person other than the Parties, their respective successors in title or assignees, or entitle any
third party to enforce any provision hereof and the Parties do not otherwise intend that any term of the Confidentiality
Undertaking should be enforceable by a third party by virtue of the Contracts (Rights of Third Parties) Act 1999.
8. I shall ensure that my acts and omissions under this Confidentiality Undertaking and as part of performing the Assignment
are in compliance with all data protection laws (including the Data Protection Act 1998) and that they shall not result in
Lloyds Banking Group breaching such data protection laws. I shall, on request, comply with all instructions that Lloyds
Banking Group deems necessary so as to enable Lloyds Banking Group to comply with its obligations under any data
protection laws. I shall indemnify Lloyds Banking Group and keep Lloyds Banking Group indemnified against all claims,
demands, actions, costs, expenses (including but not limited to legal costs and disbursements on a full indemnity basis)
losses and damages arising from or incurred by reason of any wrongful processing of any personal data by Me or breach
of my obligations under this Clause.
9. I agree that I must not benefit personally by dealing in the shares of Lloyds Banking Group Bank Plc or any other company
if, while working for Lloyds Banking Group, I come across any unpublished information which, if generally known might
affect the share price.
10. Any failure or delay by Lloyds Banking Group to take any action over a breach or default of any of the above provisions by
Me shall not preclude any right Lloyds Banking Group may have to pursue and obtain a remedy against Me.
11. This Confidentiality Undertaking supersedes all prior oral or written agreements, understandings or arrangements relating
to the subject matter of this Confidentiality Undertaking between the Parties.
12. I acknowledge and agree that nothing in this Confidentiality Undertaking nor the performance by Me of the Assignment shall
be construed or have effect as constituting any relationship of employer and employee between Me and Lloyds Banking
Group.
13. In this Confidentiality Undertaking:
(a) each of I and Lloyds Banking Group are a party (“Party”) and together they are the parties (“Parties”); and
(b) “Affiliate” means any holding company from time to time of Lloyds Banking Group and any subsidiary from time
to time of Lloyds Banking Group or of any such holding company and the terms “holding company” and “subsidiary”
shall have the meaning given to them by section 736 of the Companies Act 1985.
14. Save as expressly authorised under this Confidentiality Undertaking and then only to the extent so authorised, neither Party
shall have any authority to act or make representations on behalf of the other Party or to create any contractual liability to a
third party on behalf of the other Party.
15. This Confidentiality Undertaking may be executed in several counterparts, each of which shall be deemed to be an original
but all of which taken together shall constitute one single agreement between the Parties.
16. This Confidentiality Undertaking shall be considered as a contract made in England and according to English law and shall
be subject to the exclusive jurisdiction of the English courts, to which jurisdiction the Parties hereby irrevocably submit.
The Parties hereby signed and executed this Confidentiality Undertaking on the date first mentioned above.
I confirm that the information supplied in this form is true, and understand that if any of the information is found to be false,
any offer of temporary employment may be withdrawn, or the assignment with Lloyds Banking Group may be terminated.
Name of
Name
witness
Signature
Signature
of witness
Date Date
Created 14/04/2010
Responsibility: Audit & Compliance Team Page 2 of 2
Previous Employment Disclaimer (LBG)
Previous Employment, Contract and

Performance Disclaimer
PLEASE READ THIS EMPLOYMENT, CONTRACT AND PERFORMANCE DISLAIMER CAREFULLY

AND SIGN TO CONFIRM THE FOLLOWING:
I,
have / have not (circle relevant answer) been employed by LBG previously,
have / have not (circle relevant answer) worked contractually to LBG previously,
have / have not (circle relevant answer) been released from LBG or any other organisation
previously due to underperformance, quality or behaviours.
By my signature below, I confirm that the information supplied in this form is true, and understand
that if any of the information is found to be false, may result in the withdrawal from the assignment.
SIGNATURE
NAME (BLOCK LETTERS) _
DATE
Self-Billing Agreement (Limited Company Only)
Self-Billing Agreement (Limited Company)

This is an agreement to a self-billing procedure between:
1. Company: Regulatory Finance Solutions Ltd VAT Number: 866 889 246
AND
2. Company Name: VAT Number:

(leave blank if de-registered)
Email Address:
(This is where invoices should be sent)
THE SELF-BILLER (RFS LIMTED) AGREES:
1. To issue self-billed invoices for all supplies made to them by the company stated in section 2 (Company Name)
above until (Insert end date for agreement or contract end date) / / .
2. To complete self-billed invoices showing the supplier’s name, address and VAT registration number, together
with all other details which constitute a full VAT invoice.
3. To make a new self-billing agreement in the event that their VAT registration number changes
4. To inform the supplier if the issue of self-billed invoices will be outsourced to a third party
COMPANY STATED IN SECTION 2 (Company Name) AGREES:
1. To accept invoices raised by Regulatory Finance Solutions Ltd on their behalf until (Insert end date for agreement
or contract end date) / / .
2. Not to raise sales invoices for the transactions covered by this agreement
3. To notify Regulatory Finance Solutions Ltd. immediately if they:
• Change their VAT registration number
• Cease to be VAT registered
• Sell their business, or part of their business
COMPANY BANK ACCOUNT

BANK/BUILDING SOCIETY NAME ACCOUNT HOLDER NAME
ACCOUNT NO. SORT CODE
- -
(These details need to be backed up with a bank statement or letter)
Signed By: Signed By:

(PRINT NAME) (PRINT NAME – RFS CONTACT)
On Behalf of: On Behalf of: Regulatory Finance Solutions Ltd
(LIMITED COMPANY)
Signature: Signature:
Date: Date:
Mar 16/V 1 1
Conflict of Interest Policy
CONTENTS
1. Introduction
2. Definitions
3. Policy Statement
4. Responsibility
5. Conflict of Interest
6. Employment
7. Appointments and Consultancy
8. Business Transactions
9. Disclosure
10. RFS Contractors
11. Management of Disclosures
12. Disclosure Plans
13. Procedure
14. Data Protection

1. Introduction
Conflicts of interest may arise where a Contractor’s personal or family interests and/or loyalties
conflict with those of RFS or the Client. These interests may be financial or emotional. Such conflicts
may create problems, as they can:
 Inhibit free discussion;

 Result in decisions, or actions, that are not in the best interests of RFS or the Client;
 Risk the impression that RFS has acted improperly.
The aim of this Policy is to protect RFS and the individuals concerned from any appearance of
impropriety.
Conflicts of interest, whether actual, potential or perceived, must be managed appropriately to

protect both RFS and the Contractor from allegations of impropriety. It is not wrong or unethical to
have a conflict of interest, but failing to identify or appropriately manage any actual, potential or
perceived conflict of interest may be seen as a breach of contract. This could result in termination of
contract if it puts the interests of RFS or others at serious risk or subject to criticism.
The purpose of the Policy is to:
 Set standards of conduct expected of Contractors regarding their relationships with

individuals and external organisations;
 Protect Contractors and RFS from allegations of impropriety.
Each Contractor needs to read this Policy, then tick the appropriate box on the Annual Declaration
Form before signing and dating the form. The form should then be returned to RFS.
2. Definitions
‘Client’ means any client that an RFS contractor is assigned on project with.
‘Close Personal Relationship’ means a relationship between a Contractor and a relative, a financially
dependent person, a close friend, a de facto partner or any person with whom there is currently, or
has been, an intimate relationship. This does not include a working relationship that exists due to
ordinary collaboration, where colleagues are not relatives, financially dependent, de facto or
intimate partners.
‘Customer’ means the end user of a product.
‘Contractor’ means a person employed or engaged by a private limited company or an umbrella

company to provide services to a third party (the Client) via RFS.
‘Operations Manager’ means the person who is responsible for the day-to-day running of the
operation/project.
‘Line Manager’ means the person who is responsible for day-to-day immediate management and
direction of the Contractor.
‘RFS’ means Regulatory Finance Solutions Ltd or a company that is part of the RFS group.
3. Policy Statement
This Policy provides a framework for all Contractors to ensure fair, consistent and effective
understanding and management of situations where a conflict of interest may exist.
If a Contractor is resourced for a position that gives him or her the authority to set Client policy or
make project decisions, it is an implicit condition of his or her contract that the he or she uses the
authority in RFS’s, the Client’s and the Customer’s interest.
The term “conflict of interest” describes any circumstance that would cast doubt on a Contractor’s
ability to act with total objectivity with regard to the Client’s, a Customer’s or RFS’s interest. Every
Contractor is expected to avoid any action or involvement which would in any way compromise his
or her actions on behalf of the Client or RFS. Activities which could raise a question of conflict of
interest include, but are not limited to, the following:
• To conduct business on behalf of the Client or RFS with a member of the Contractor’s family
or a business or organisation in which the Contractor, or a member of his or her family, has a
significant association, which could give rise to a conflict of interest, without first obtaining a
written non-objection from a Director of the Client or RFS;
 To serve in an advisory, consultative, technical, or managerial capacity for any non-affiliated
business or organisation that does significant business with, or is a competitor of, the Client
or RFS, without first advising the Operations Manager, Line Manager or RFS project delivery
team of such plans.
 To act in any professional capacity where the individual has a relationship that creates or
might be perceived to create (by a reasonable person) a perception that dealings might not
be fair and objective. This might include providing advice on the suitability of a process or
decision where you previously were involved in the making of the decision or design of the
process.
Every Contractor is prohibited from taking part in any activity or association that creates, or appears
to create, a conflict between his or her personal interests and the Client’s or RFS’s business interests.
In addition, a Contractor must not allow any situation or personal interests to interfere with the
exercise of independent judgment or with his or her ability to act in the best interests of the Client
and RFS.
4. Responsibility
The Line Manager is responsible for ensuring consistent understanding within his or her team. He/she
must ensure that all Contractors are aware of the purpose of this Policy by ensuring they have all
received a copy and understand the content.
5. Conflict of Interest
A conflict of interest can be:
 Actual, where a conflict actually exists;

 Perceived, when a conflict is only believed to exist; and
 Potential, when a conflict is a future possibility.
A conflict of interest is when there is, or appears to be, a conflict between performance as a
Contractor of RFS and private or personal interests. The overall test is whether an independent
observer may reasonably question the factors affecting decisions or actions of a Contractor and not
whether they have in fact affected the decision or action.
Any conflict may also adversely affect a Contractor’s ability to carry out his or her duties and
responsibilities to RFS because there is a perception that he or she is receiving more benefits than
another due to the disparity of interests.
Contractors are to actively avoid being placed in situations of actual or perceived conflict between
the interests of RFS and their own, or their family’s and friends’, private or personal interests.
All Contractors have a duty to raise any concerns regarding a conflict of interest affecting another
Contractor with the Operations Manager, Line Manager or RFS project delivery team.
The following areas below provide examples of conflicts of interest. Actual or perceived conflicts of
interest include but are not limited to:
 Acceptance of gifts of value, gratuities, grants or favours from individuals or organisations

(such as prospective Contractors, Clients or suppliers);
 Use of confidential Client or RFS information or assets for personal gain, or for the benefit of
a person or organisation with whom the Contractor has a close personal, financial or non-
financial relationship.
6. Employment
Contractors must not participate in:
 Any recruitment, promotion, disciplinary action, performance management or grievance

process with prospective or current Contractors, or have a direct or indirect supervisory role,
with respect to another Contractor with whom they have, or had, a close personal
relationship;
 Any other work, paid or unpaid, that affects their ability to fulfil their duties and obligations
as a Contractor of RFS;
without the prior approval of an RFS Director.
7. Appointments and Consultancy
Contractors must not:
• Hold other contractor roles which conflict with their on-going obligations to the Client’s or
RFS’s responsibilities or with their duties or responsibilities as a Contractor of RFS;
 Hold directorships, be in partnership or be a principal in any company which is in direct
competition with the Client or RFS.
Contractors who wish to be appointed to other boards or non-executive positions representing
other interests closely linked to those of the Client or RFS must gain permission before such
appointment is granted from a Director of RFS. If a Contractor holds such appointments before being
engaged as a Contractor on behalf of RFS, he or she must make this known before any agreements
are signed with RFS.
8. Business Transactions
A conflict of interest may be seen to exist:
 If the Contractor participates in an invitation to tender or assessment of a tender where he

or she has, or had, a Close Personal Relationship with a person who has tendered to the
Client or RFS which they will oversee or decide upon;
 In situations where a Contractor approves, or influences approval for, the purchase of goods
or engagement of services from a firm, company or other business entity which the
Contractor (or an individual with a Close Personal Relationship with the Contractor) has an
interest.
9. Disclosure
Unless identified and managed appropriately, any conflict may compromise, or appear to
compromise, a Contractor’s ability to make impartial business decisions, resulting in a benefit or
disadvantage of an individual due to undisclosed influence.
The primary obligation of all Contractors is to disclose the potential conflicts of interest in advance
and to remove themselves from any discussion or activity involving the conflict.
They must proactively inform RFS whenever a new conflict, whether actual, perceived or potential,
arises.
10. RFS Contractors
RFS Contractors can be placed in a difficult position if they are aware of a conflict of interest
affecting another Contractor which has not been declared or properly managed.
As well as completing an Annual Declaration, it is the responsibility of individual Contractors to

proactively raise any actual, potential or perceived conflict of interest with the Operations Manager,
Line Manager or RFS project delivery team.
11. Management of Disclosures
Management of any actual or perceived conflict disclosed by a Contractor is the responsibility of the
Operations Manager or Line Manager notified of the conflict. Management will include
consideration of whether it is appropriate for the Contractor to resume any discussions or activities
that involve the conflict.
Any Contractor who directs or approves the management of a disclosed conflict which is in breach of
this Policy, or has knowledge of it and does not act promptly to correct it, may be determined to be
in breach of his or her contract.
If it is determined that a conflict of interest (actual or perceived) exists, the Head of Project Delivery
at RFS may transfer either party to a different work area to alleviate the situation.
12. Disclosure Plans
When an actual, perceived or potential conflict of interest has been identified by its disclosure by a
Contractor to the Operations Manager, Line Manager or RFS project delivery team, a disclosure plan
will be agreed between the parties to resolve or manage the conflict of interest. If agreement is
unable to be reached, the Line Manager may determine the approach, with appropriate referral to
the RFS project delivery team.
Any Contractor who is uncertain of the agreed disclosure plan or whether any action on their part
would contravene this policy should seek further advice from the Operations Manager, Line
Manager or RFS project delivery team.
Following resolution or management of any disclosed conflicts, the disclosure plan is to be

forwarded, together with the Annual Declaration Form, and will be stored on a secure, central CRM
system within RFS.
13. Procedure
A disclosure plan must include:-
 Detail of the Contractor's personal interest;

 Detail of RFS's interest which could or does conflict with the Contractor's interests;
 Potential of the interest becoming a conflict;
 Actions agreed by the Contractor or the Line Manager's decision in how to avoid
the conflict;
 Discussions or activity agreed by the Line Manager which the Contractor may
continue to participate in.
14. Data Protection
Any information provided under this Policy will be processed in accordance with data
protection principles as set out in the Data Protection Act 2018 or under the General
Data Protection Regulation ((EU) 2016/679)). The information provided will not be used
for any other purpose.
ANNUAL DECLARATION
CONFLICT OF INTERESTS FORM
I, ……………………………………………. (Name) on …………………………………………(Project) have set out below

my interests in accordance with RFS’s Conflicts of Interest Policy. These interests include any
financial or other interests held or accruing to me, or a member of my immediate family, relatives,
business partners, associates or friends which might give rise to an actual or perceived conflict of
interest.
Category Please give details of the interest and whether it

applies to yourself, or, where appropriate, a member
of your immediate family or some other close personal
connection
Current employment external to
contract with RFS and any
previous employment in which
you continue to have a financial
interest
Appointments (voluntary or
otherwise) for example,
trusteeships, directorships, local
authority membership, tribunals
etc
Membership of any professional

bodies, special interest groups or
mutual support organisations
which have a financial affiliation
with the client or RFS
Financial interests in any business

or organisation
Close Personal Relationship with

anyone at the Client company or
RFS
Current or past close personal

relationship with another
Contractor of RFS
Any other interests which might

give rise to an actual or perceived
conflict of interest
DECLARATION
I confirm that the information outlined above is true and correct. I declare that, to the best of my
knowledge: (please tick one box)
None of the private or personal interests outlined above conflict with any of my official
duties as a Contractor of an Associate Company which has contracted with RFS; or
I believe there may be a conflict of interest; or
I have nothing to disclose on this form and there is no conflict of interest (actual or
perceived).
I will immediately notify the Operations Manager, Line Manager or RFS project delivery team, in
writing, if a conflict of interest (actual, perceived or potential) arises in the future, and to not be
involved in any decision making process in which I may be compromised.
I understand that a failure to disclose any relevant information may be viewed as a breach of
contract between RFS and the Associate Company that I am employed by.
………………………………………..……………………. (Signature) ….../….../…... (Date)
RFS AUTHORISATION (for completion by an RFS employee)
I have noted the information contained in this Declaration.
A Disclosure Plan has been agreed with the Contractor and attached to this form.
NA - A Disclosure Plan is not required
…………………………………………………………………… (Signature) …….../……../…….. (Date)
……………………………………..…………………..(Print Name)

RFS (LBG) Contractor Registration Pack

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

RFS (LBG) Contractor Registration Pack

Uploaded by

Copyright:

Available Formats

CONTRACTOR REGISTRATION PACK

NAME: _ START DATE:

4. Application Form All 10 Pages Complete

5. Confidentiality Agreement Pages 1 & 2 Completed

CONSUMER CREDIT CHECK ON RFS Group Ltd Contractors

TO: Credit Referencing Team

CAN YOU PLEASE CREDIT CHECK THE FOLLOWING:

5 Year Address History

QUESTION DETAILS AMOUNT DATES

(a) Limited Company Details

1st Line Registered Address:

Town/City: Telephone number:

Postcode (Country if not in the UK): Email Address:

Company registration number: Date of incorporation:

Contact name: Nature of business:

Professional Indemnity expiry date: VAT Registered? Yes / No

1st Line Address:

Town/City: Telephone number:

Postcode (Country if not in the UK): Email Address:

(b) Umbrella Company Details

1st Line Registered Address:

Town/City: Telephone number:

Postcode (Country if not in the UK): Email Address:

Title: Miss/Ms/Mrs/Mr/Other Surname:

Maiden Name OR any Former Names: Date of name change:

Date of Birth: Place of Birth (Town & Country):

Nationality: National Insurance No:

Mother’s maiden name (required for Disclosure Scotland):

Are you subject to immigration control? Yes / No

(b) Contact Details:

Next of kin Name:

Name of Dates attended

(d) Professional/Financial qualifications/memberships - Please record all obtained membership of

1. Have you ever been convicted of a criminal offence (subject to the

(g) Other Actions and Disqualifications

(h) Vetting Questions

(i) Business Interest

(k) Motor Offences/Convictions

Please confirm if you have had any motor offences or convictions.

(l) Overseas Work/Employment

Relationship & length of relationship:

Relationship & length of relationship:

4 - CONTRACTUAL HISTORY FOR PROPOSED INDIVIDUALS AND/OR LIMITED COMPANIES

Employer/client name: Agency name (if applicable):

Job title/services provided: Reason for leaving:

1st Line Address: Dates employed/contracted: (dd/mm/yyyy)

Reference Details Contact Name & Job Title:

Telephone Number: Email Address:

Employer/client name: Agency name (if applicable):

Job title/services provided: Reason for leaving:

1st Line Address: Dates employed/contracted: (dd/mm/yyyy)

Reference Details Contact Name & Job Title:

Telephone Number: Email Address:

Employer/client name: Agency name (if applicable):

Job title/services provided: Reason for leaving:

1st Line Address: Dates employed/contracted: (dd/mm/yyyy)

Reference Details Contact Name & Job Title:

Telephone Number: Email Address:

Employer/client name: Agency name (if applicable):

Job title/services provided: Reason for leaving:

1st Line Address: Dates employed/contracted: (dd/mm/yyyy)

Reference Details Contact Name & Job Title:

Telephone Number: Email Address:

Employer/client name: Agency name (if applicable):