The Directory is the new public register for checking the details of key people working in financial services. As part of the Senior Managers and Certification Regime (SM&CR), the Directory will provide a range of information. From 9 September 2019 firms are required to submit their data. See how to submit your data.
The Directory aims to:
- Enable customers to verify the identity of those selling or providing advice on financial products to help protect themselves from scams.
- Help firms to easily cross-check references, make their staff known to customers and make it more difficult for unsuitable individuals to operate in the UK market.
- Support the FCA, law enforcement, professional bodies and other regulators to monitor the market, build intelligence and target interventions.
Deadline for submitting information
- • Banks, building societies, credit unions and insurance companies must submit their data between 9 September 2019 and 9 March 2020.
- • All other firms must submit their data between 9 December 2019 and 9 December 2020.
How to prepare your submission
Our Policy Statement (PS19/7) has useful background about the Directory and information for preparing your submission. Page 5 includes a list of all the information that will appear publicly on the Directory. If you have any questions about the Directory, either call us on 0300 500 0597 from the UK, on +44 207 066 1000 from abroad, or email [email protected].
How to submit your data
Submit your data using the new Directory Persons Connect form. In this form you will have 2 ways of submitting your data, using a single entry form for a single record notification or a multiple entries template.