A threesixty guide to submitting directory persons data

A threesixty guide to submitting directory persons data

This guide is to assist those adding staff members holding an SM&CR certification function (directory persons) to the Financial Services (FS) Register. It explains how to submit a directory persons data via the FCA notification form, and via file upload, and how to amend an existing directory persons information. On an ongoing basis you will need to include submitting the Directory persons report as part of your processes for notifying the FCA of relevant staff changes. Having read this guide, if you continue to experience issues please contact our compliance team on 03707 360 360 or email your queries to compliance@threesixtyservices.co.uk

Contents

Introduction Getting started Choosing the update method Adding directory persons via the notification form Adding directory persons via file upload Your obligations

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