A threesixty guide to submitting directory persons data

Introduction

Directory persons Those who will appear in the FS Register Directory (‘Directory Persons’) are: • Any staff holding an SM&CR certification function • Any directors, or non-executive directors (NEDs) of a firm - regardless of whether they hold a senior management function (SMF) or a certification function • Any sole traders, appointed representatives (ARs), or those working for ARs who are undertaking business with clients, and require a relevant qualification to do so • Any person dealing with clients, including advising and arranging investments, acting as an investment manager and all functions connected with this. • Anyone who supervises or manages a Certification Function (directly or indirectly) but is not a senior manager. Note If a Senior Manager performs a Certification Function and it isn’t related to their senior management function, they will also need to be certified. For example, a Director who also provides investment advice will need to be certified to undertake the investment advice. The two roles involve different competencies and requirements. Although AR firms aren’t included within the SM&CR regime, some roles within AR firms will be included on The Directory. Relevant roles for AR firms on the Directory will be investment advisers and mortgage advisers.

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