Pentana Compliance FCA Directory Leaflet

As part of SM&CR, FCA regulated financial services firms including banks, building societies, credit unions and insurance companies must regularly submit up-to-date directory persons data to a public register so that consumers, firms and other stakeholders can find information on key individuals working in financial services.

Ideagen have developed a system enhancement to Pentana Compliance that helps streamline this process:

  • Dedicated new screens within the system for Directory data
  • The ability for users to review, amend and confirm Directory data is accurate
  • Directory reporting consistent with FCA templates
  • Directory updated dates and robust record keeping
  • Workflow to support ‘movers, joiners, leavers and changes’, including Process Oversight

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