FCA Directory News
On the 9th February, the FCA issued a new multiple amendment template for the FCA Directory. This builds on the multiple add template published last year. The regulator has also updated their User Guide to include instructions on the use of the amend template along with some useful examples, screenshots and a Q&A section to help firms navigate Directory input.
Banks and Insurers will have uploaded relevant staff data into the Directory and will now move into the process of maintaining and updating their submissions, so the facility to submit data in bulk is timely and will be welcomed.
FCA Solo-Regulated firms have until 9th December 2020 to submit their initial data uploads. If you are not sure what is expected of you as a firm, we hope the links below will be useful.
“The multiple amend template allows you to amend multiple directory person records via a single application. You can use the Multiple Amend template to:
- end date existing roles
- update activities, accreditation’s, workplace location or customer engagement method
- update start date and end date for a role (if the information about a directory person is yet to be published)”.
Useful references and links
FCA Policy Statement 19/07 – The Directory
https://www.fca.org.uk/publication/policy/ps19-07.pdf
Updated User Guide
Multiple submissions template
https://www.fca.org.uk/publication/forms/directory-persons-multiple-submissions-template.xlsx
Multiple submissions amend template
https://www.fca.org.uk/publication/forms/directory-persons-multiple-submissions-amend-template.xlsx
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