A threesixty guide to submitting directory persons data

Adding Directory Persons File upload

Submission Save the Excel spreadsheet as a CSV UTF-8 file type[Comma Delimited] .csv file type and call it “FCA_Directory_Persons_Multiple_Add” – watch the underscores in the name as you cannot have any spaces (this is the final version that you will upload) Do not save it as a .csv until you are ready to submit, as doing so will remove the template formatting. When saving the file, ensure you are on the form tab that contains the information you have populated, as the .csv format removes all other tabs. The examples below show a full list of entries – Each line represents the directory person concerned. The ‘Roles’ and ‘Activities’ of each directory person may be over several lines.

Figure 15 - Multiple submissions template (Example 1)

On this basis the certification for a retail investment adviser should include the functions ‘functions requiring a qualification’ and ‘client dealing’ function.

Figure 16 - Multiple submissions template (Example 2)

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