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Status: You are viewing the version of the handbook as on 2019-09-14.

SUP 16 Annex 47AR Directory persons report

1

(1)

(2)

Date information reported:

Confirm information being reported is accurate and complete

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

Individual Reference Number (IRN)

Passport number, 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

First name

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) Benchmark submission and administration

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] 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

22. Designing scripted questions for execution-only sales of equity release transactions

23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions