Menu
Directory Data Deadlines

Dual regulated firms must have submitted their Directory Persons data on the FCA’s Connect system – by the deadline of 13 November 2020. The FCA will publish and maintain the data from 23 November 2020, as it is submitted. The data will be published on the Financial Services Register.

Solo-regulated firms must submit their Directory Persons data via Connect by the deadline of 31 March 2021 using the single entry submission form. Earlier dates apply if firms wish to use the multiple entry submission form and/or if they wish their data to appear from earlier dates starting in December.

The FCA will begin to incrementally display data from solo-regulated firms as it is submitted – the data will start to be published from 14 December 2020. The last date for single entry submissions to appear from the outset of this publication is 9 December 2020.

Don’t forget to check Our View about this article and the Actions Required By You

Directory Data Deadlines

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

For information.

Action Required By You

For information.

SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

FCA extend SMCR period of absence

Compliance ,

The FCA has made a temporary modification to the rules around providing cover for an absent Senior Manager.

Read More
Dark_wall_just_ateb_signage

Acquiring or selling a business

Compliance , , ,

What needs to be considered when buying or selling an adviser firm?

Read More
Cookies on square white ceramic plate

GDPR – two years on

Compliance , , , , , , ,

The General Data Protection Regulation – or GDPR as it is more familiarly referred to, took effect in May 2018. Two years on, we thought it would be useful to do a quick review. The intention of the legislation was to protect data and privacy in the European Union and the European Economic Area. It […]

Read More
Woman having video call on smartphone

Handling complaints during the COVID-19 emergency

Compliance , ,

The FCA is aware that, as a result of the current health emergency, many firms are facing challenges in maintaining normal business processes, including dealing with consumer complaints.

The FCA has issued a statement that clarifies the position on complaint handling in the current circumstances. The full statement can be read here. The key points are summarised below.

Read More
Writing notes idea class

If it’s not written down, it doesn’t exist

Compliance , , , , ,

How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that statement was roundly confirmed by a recent FOS decision (ref. DRN4555535). In summary, the complaint related to a client who had been recommended to buy an annuity with a five year guarantee period. The client died […]

Read More
Load More