Information relating to a “Directory Person” which is made public on the FCA Directory includes:
- employer details;
- restrictions applying to a firm’s regulated activities;
- individual’s name;
- Individual Reference Number;
- passport number (not that this is only required if the Directory Person does not have a National Insurance Number);
- National Insurance Number;
- relevant role(s) held;
- start and end date of each role;
- type of business the individual is qualified to undertake (if qualifications are required);
- workplace location(s) (for customer-facing roles requiring qualifications only) – but note that individuals who may be put at risk by having their location published do not need to provide their location;
- customer engagement method(s) (for customer-facing roles requiring qualifications only) – note that the three options are “face-to-face”, “telephone” and/or “online”;
- membership of relevant accredited bodies (for customer-facing roles requiring qualifications only);
- regulatory sanctions and prohibitions; and
- date information was last updated.[1]
[1] PS19/7, page 5