A threesixty guide to submitting directory persons data

Adding Directory Persons The notification form - Application involvement

To begin adding the details of application involvement, click upon the start button (see Figure 2 - Add Directory persons screen) belonging to the Application involvement section title. You will be asked to confirm the name of the firm that the directory person needs to be associated. Next, select the directory persons applicable roles (Figure 8 - Customer engagement methods). For example, the certification for a retail investment adviser should include the functions ‘functions requiring a qualification’ and ‘client dealing’ function. The roles (with) Customer Engagement Method and activities requiring qualification are: • [FCA CF] (5) Functions requiring qualifications • Sole trader dealing with clients for which they require qualification • Appointed representative dealing with clients for which they require qualification

The roles (without) Customer Engagement Method are: • [FCA CF] (1) CASS oversight function • [FCA CF] (2) Benchmark submission and administration • [FCA CF] (3) Proprietary trader • [FCA CF] (4) Significant management • [FCA CF] (6) Manager of certification employee • [FCA CF] (7) Material risk taker • [FCA CF] (8) Client dealing • [FCA CF] (9) Algorithmic trading

• [PRA CF] Material risk taker • [PRA CF] Key function holder • [PRA CF] Managing a material risk taker • Director of firmwho is not a certification employee or a SMF manager

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