Firm Details
The firm details tab shows the details about the brokers firm. Within this screen you can see how many cases the brokerage has within the system as well as seeing how many cases have been validated. As you can see from the diagram it shows how many cases have been validated and what risk level they are currently at. If a cases has been validated and it is completed then the cases will be green. But if they have been validated and the case is not completed then the case will be red.
Also above you can see that this screen displays the contact details for any firm such as the address, email address, Telephone, etc.
Within the firm details you will notice that new tabs appear along the top. Within these tabs you will find more information about the firm.
AR/Agents:
The AR/Agents tab takes you back to the screen where you can view the firms details such as address and see how many cases they have in the system and whether they are validated or not.
CCL/DPR & Insurance:
This tab shows the firms CCL (Consumer Credit Licence) and DPR (Data Protection Registered) details. So within this section you will be able to see their license numbers as well as their start and end dates for both CCL and DPR.
Disciplinary Actions/Terminations:
Enter any disciplinary actions / terminations that have happened within the firm. This section allows you to enter a description of what has happened, the date and what status it is at. The status’ are: Termination, Suspension and Other. As well as adding new disciplinary actions against this firm you can also view previous actions taken against them.
Financial Promotions:
Financial promotions tab allows you to enter any promotions that this firm is currently running as well as viewing previous promotions.
Development Plans:
This section is where you can view any development plans that the firm has. Within this section you can upload documents to link to the development plan. As well as viewing previous documents linked to old development plans.
Observations:
This tab allows you to enter observations about the firm. So within this section you can enter the type as first mortgage, second mortgage, first protection, etc and enter the result code. The result codes are DNU, Red, Amber and Green.
Branches:
Enter any branches that link into the firm. So within this section you can enter information such as company name and the address of the branch.
Directors/principals:
Here you can see all the directors of the company. Record their name, position, telephone, etc.
FSA Notifications:
This tab allows you to add any FSA notifications against the firm. As well as seeing any previous notifications along with the date that it was made. Record any restrictions the FSA may have put on that firm.
Approved Persons:
This shows all the approved persons that work within that firm. View their details and add more approved persons to the firm.
Bank/Accountants Details:
Within this tab you can view the bank account details of the firm. See the address of the bank that the firm uses.
Back to the Advisor:
This tab takes you back to the main page where you can view the details about the advisor.