Directory of certified and assessed persons

Under the Senior Managers and Certification Regime (SM&CR), we will publish and maintain a directory of certified and assessed persons on the Financial Services Register, so consumers and professionals can check the details of key individuals working in financial services. 

Solo-regulated firms must have submitted Directory Persons data by 31 March 2021. Solo firms that have not done this must ensure they carry out the certification and assessment of individuals within their firm and submit the relevant information.

- To understand our requirements, read our policy statement and FAQs

- You'll need to assess and certify individuals as Directory Persons (DPs)

- Submit your DP data via our Connect portal

- If you're submitting for fewer than 10 individuals, use our single user guide

- Or, if you're submitting for 10 or more individuals, use our multiple add and multiple amend guides

 

Publication of Directory Persons (DPs) data

DPs data for firms regulated solely by the FCA and by both the FCA and PRA is now published on the FS Register. Solo regulated and dual regulated firms must ensure they comply with the Policy.

Preparing your certified and assessed person submission

Our Policy Statement (PS19/7) provides useful background about certified and assessed persons and information for preparing your submission. Page 5 includes a full list of all the certified and assessed persons information that will appear publicly on the FS Register. Please read this before preparing your submission. 

Adding or amending your certified and assessed persons data

Use the new DPs Connect form which offers 2 ways of adding or amending your data: using a single entry form for a single record notification, or a template where you can add or amend multiple entries.

For help, refer to our user guides on:

And our templates on:

Read our 5 top tips for submitting correctly

When using the multiple add template or multiple amend template, make sure you:

  1. Save your upload as a CSV UTF-8 file. Once converted to CSV UTF-8, do not make further changes to it. If changes are required, update your original Excel file (.xlsx) and then convert it back to CSV UTF-8. 
  2. Provide a role start date and FRN for each certified and assessed person.
  3. Use the drop-down values in the template and don’t ignore cell formatting. Pay particular attention to dates, ensuring Excel recognises them as dates rather than ‘general’ or ‘text’ (see the number format box in Excel).
  4. Avoid using commas and special characters in the template, and avoid leaving blank spaces in the national insurance field.
  5. Use the latest version of the templates.

More information for your submission

Certified and assessed persons consist of:

  • all certified staff (those holding a certification function under the SM&CR)
  • directors who are not performing Senior Manager Functions (SMFs) – both executive and non-executive
  • other individuals who are sole traders or ARs (including those within ARs) where they are undertaking business with clients and require a qualification to do so

Certified and assessed persons information to be published on the Financial Services Register includes:

  • name and any previous names
  • roles with start and end dates
  • activities undertaken

Customer-facing roles requiring a qualification must include:

  • customer engagement methods
  • workplace location (where relevant)
  • memberships of professional bodies

How we’ll make your data public

As part of the SM&CR, the information on the directory of certified and assessed persons will be publicly available when it is hosted on the FS Register later this year.

If you need more help

Our Questions and Answers cover a range of topics such as reporting, the submission process and use of data.

If you have general questions about the directory persons, either call us on 0300 500 0597 from the UK, on +44 207 066 1000 from abroad, or email us.

Page updates

06/04/2021: Document added users guides for adding or amending your certified and assessed persons data
03/03/2021: Information changed Revised section at the start about solo-regulated firms submitting DP data by 31 March 2021
08/01/2021: Information changed Publication of Directory Persons data box.
02/10/2020: Document update User guide: Adding or amending multiple directory persons data (October 2020)