A threesixty guide to submitting directory persons data
Adding Directory Persons The notification form - Application involvement
A full list of activities is listed on page 16 (see Figure 9 - Activities). This is needed where the individual’s activities require an appropriate qualification. For example: • Giving personal recommendations on retail investment products • Pension transferspecialist • Managing investments • Advising or arranging (bringing about) regulated mortgage contracts For most advisers, you will need to add activities 4 and 6. Of course, this will depend on the exact activities that the adviser is undertaking - a number of further activities may be appropriate. Examples below: Some of the main activities for an individual requiring a qualification include: • For an adviser who is advising on retail investment products they would need: 4 • For an adviser who is advising on friendly society tax-exempt policies they would need: 6 • For an adviser advising on P2P they would need: 9a • For an adviser who is advising on securities they would need: 2 • For an adviser who is advising on and dealing in securities they would need: 12 • For an adviser who is advising on derivatives they would need: 3 • For an adviser who is advising on and dealing in derivatives they would: 13 • For an adviser who is advising on long term care they would need: 7 • For a pension transfer specialist they would need: 11 • For an adviser advising on mortgages they would need: 20 • For an adviser advising on equity release they would need: 21 threesixty comment Where you are uncertain as to which activities should be held for the role, you can cross-reference the activities against the qualification requirements in the appropriate qualification tables in the FCA handbook. www.handbook.fca.org.uk/handbook/TC/App/4/?view=chapter
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