FCA Handbook - SUP 16 Annex 47AR Directory persons report

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SUP 16 Annex 47AR Directory persons report

(1)					(2)
Date information reported:					Confirm information being reported is accurate and complete

(3)	(4)	(5)	(6)	(6A)	(7)	(7A)	(8)	(9)	(10)	(11)	(12)		(13)		(14)	(15)	(16)
Individual Reference Number (IRN)	Passport number and nationality, for any Directory person who does not have an NI Number or for whom a passport number, and not an NI number, has previously been provided	National insurance (NI) number	Date of birth	Title (optional)	First name	Name commonly known by (if known)	Middle names (if known)	Last name	Date started role	Date role ended	Relevant roles currently held		Activities which the Directory person carries on and for which they hold the relevant qualifications		Customer engagement method(s) (online, telephone, face to face) offered by any Directory person who deals with customers and requires a qualification to do so	Workplace location(s) (post code(s)) for any Directory person who deals with customers face to face and requires a qualification to do so	Relevant accredited body membership for any Directory person who deals with customers and requires a qualification to do so
												[FCA CF] (1) CASS oversight function		2. Giving personal recommendations on securities which are not stakeholder pension schemes, personal pension schemes or broker funds
												[FCA CF] (2) [deleted]		3. Giving personal recommendations on derivatives
												[FCA CF] (3) Proprietary trader		4. Giving personal recommendations on retail investment products which are not broker funds
												[FCA CF] (4) Significant management		6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
												[FCA CF] (5) Functions requiring qualifications		7. Giving personal recommendations on long-term care insurance contracts
												[FCA CF] (6) Manager of certification employee		8. Giving personal recommendations on investments in the course of corporate finance business
												[FCA CF] (7) Material risk taker		9. Advising on syndicate participation at Lloyd’s
												[FCA CF] (8) Client dealing		9A. Advising on P2P agreements
												[FCA CF] (9) Algorithmic trading		10. Broker fund adviser
												[PRA CF] Significant risk taker or material risk taker		11. Pension transfer specialist
												[PRA CF] Key function holder		12 Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes, personal pension schemes or broker funds
												[PRA CF] Managing a material risk taker		13. Giving personal recommendations on and dealing in derivatives
												Director of firm who is not a certification employee or a SMF manager		14 Managing investments
												Sole trader dealing with clients for which they require a qualification		15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
												Appointed representative dealing with clients for which they require a qualification		16 Safeguarding and administering investments or holding client money
														17. Administrative functions in relation to managing investments
														18 Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
														19. Administrative functions in relation to the operation of stakeholder pension schemes
														20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
														21. Advising or arranging (bringing about) equity release transactions
														21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
												Responsibility for Insurance Distribution (MIPRU 2.2.1R)		22. Designing scripted questions for execution-only sales of equity release transactions
												Responsibility for MCD Intermediation (MIPRU 2.2.1R)		23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions