(1) | (2) | ||||||||||||||
Date information reported: | Confirm information being reported is accurate and complete | ||||||||||||||
(3) | (4) | (5) | (6) | (6A) | (7) | (7A) | (8) | (9) | (10) | (11) | (12) | (13) | (14) | (15) | (16) | ||
Individual Reference Number (IRN) | Passport number and nationality, for 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) | First name | Name commonly known by (if known) | 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 | ||
[FCA CF] (1) CASS oversight function | 2. Giving personal recommendations on securities which are not stakeholder pension schemes, personal pension schemes or broker funds | ||||||||||||||||
[FCA CF] (2) [deleted] | 3. Giving personal recommendations on derivatives | ||||||||||||||||
[FCA CF] (3) Proprietary trader | 4. Giving personal recommendations on retail investment products which are not broker funds | ||||||||||||||||
[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) | ||||||||||||||||
[FCA CF] (5) Functions requiring qualifications | 7. Giving personal recommendations on long-term care insurance contracts | ||||||||||||||||
[FCA CF] (6) Manager of certification employee | 8. Giving personal recommendations on investments in the course of corporate finance business | ||||||||||||||||
[FCA CF] (7) Material risk taker | 9. Advising on syndicate participation at Lloyd’s | ||||||||||||||||
[FCA CF] (8) Client dealing | 9A. Advising on P2P agreements | ||||||||||||||||
[FCA CF] (9) Algorithmic trading | 10. Broker fund adviser | ||||||||||||||||
[PRA CF] Significant risk taker or material risk taker | 11. Pension transfer specialist | ||||||||||||||||
[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 | ||||||||||||||||
[PRA CF] Managing a material risk taker | 13. Giving personal recommendations on and dealing in derivatives | ||||||||||||||||
Director of firm who is not a certification employee or a SMF manager | 14 Managing investments | ||||||||||||||||
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 | ||||||||||||||||
Appointed representative dealing with clients for which they require a qualification | 16 Safeguarding and administering investments or holding client money | ||||||||||||||||
17. Administrative functions in relation to managing investments | |||||||||||||||||
18 Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies | |||||||||||||||||
19. Administrative functions in relation to the operation of stakeholder pension schemes | |||||||||||||||||
20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose | |||||||||||||||||
21. Advising or arranging (bringing about) equity release transactions | |||||||||||||||||
21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose | |||||||||||||||||
Responsibility for Insurance Distribution (MIPRU 2.2.1R) | 22. Designing scripted questions for execution-only sales of equity release transactions | ||||||||||||||||
Responsibility for MCD Intermediation (MIPRU 2.2.1R) | 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions | ||||||||||||||||