A threesixty guide to submitting directory persons data

Adding Directory Persons File upload

On the excel spreadsheet version this would be: [FCA CF] (5) Functions requiring qualifications and [FCA CF] (8) Client dealing.

Figure 17 - Multiple submissions template (Extract 3)

Activities Activities must be referenced where the individual’s activities require an appropriate qualification. For example: • Giving personal recommendations on retail investment products • Pension transfer specialist • Managing investments • Advising or arranging (bringing about) regulated mortgage contracts Most advisers will need activities 4 and 6. However, it depends on the exact activities that the adviser is undertaking. They may have a number of further activities. Some of the main activities for an individual requiring a qualification are shown below: • 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

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