SUP 16 Annex 47AR Directory persons report
(1) |
(2) |
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Date information reported: |
Confirm information being reported is accurate and complete |
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(3) |
(4) |
(5) |
(6) |
(6A)3 |
(7) |
(7A)3 |
(8) |
(9) |
(10) |
(11) |
(12) |
(13) |
(14) |
(15) |
(16) |
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Individual Reference Number (IRN) |
Passport number and nationality, 3for any Directory person who does not have an NI Number or for whom a passport number, and not an NI number, has previously been provided |
National insurance (NI) number |
Date of birth |
Title (optional) 3 |
First name |
Name commonly known by (if known)3 |
Middle names (if known) |
Last name |
Date started role |
Date role ended |
Relevant roles currently held |
Activities which the Directory person carries on and for which they hold the relevant qualifications |
Customer engagement method(s) (online, telephone, face to face) offered by any Directory person who deals with customers and requires a qualification to do so |
Workplace location(s) (post code(s)) for any Directory person who deals with customers face to face and requires a qualification to do so |
Relevant accredited body membership for any Directory person who deals with customers and requires a qualification to do so |
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[FCA CF] (1) CASS oversight function |
2. Giving personal recommendations on securities which are not stakeholder pension schemes, personal pension schemes or broker funds |
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[FCA CF] (2) [deleted]2 |
3. Giving personal recommendations on derivatives |
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[FCA CF] (3) Proprietary trader |
4. Giving personal recommendations on retail investment products which are not broker funds |
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[FCA CF] (4) Significant management |
6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) |
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[FCA CF] (5) Functions requiring qualifications |
7. Giving personal recommendations on long-term care insurance contracts |
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[FCA CF] (6) Manager of certification employee |
8. Giving personal recommendations on investments in the course of corporate finance business |
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[FCA CF] (7) Material risk taker |
9. Advising on syndicate participation at Lloyd’s |
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[FCA CF] (8) Client dealing |
9A. Advising on P2P agreements |
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[FCA CF] (9) Algorithmic trading |
10. Broker fund adviser |
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[PRA CF] Significant risk taker or material3 risk taker |
11. Pension transfer specialist |
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[PRA CF] Key function holder |
12 Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes, personal pension schemes or broker funds |
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[PRA CF] Managing a material risk taker |
13. Giving personal recommendations on and dealing in derivatives |
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Director of firm who is not a certification employee or a SMF manager |
14 Managing investments |
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Sole trader dealing with clients for which they require a qualification |
15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme |
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Appointed representative dealing with clients for which they require a qualification |
16 Safeguarding and administering investments or holding client money |
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17. Administrative functions in relation to managing investments |
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18 Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies |
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19. Administrative functions in relation to the operation of stakeholder pension schemes |
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20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose |
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21. Advising or arranging (bringing about) equity release transactions |
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21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose |
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Responsibility for Insurance Distribution (MIPRU 2.2.1R)3 |
22. Designing scripted questions for execution-only sales of equity release transactions |
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Responsibility for MCD Intermediation (MIPRU 2.2.1R)3 |
23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions |
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