Work instruction: Creating CRM records
🎯 Purpose
Step-by-step instruction for creating the intermediary master record in the CRM after an application is approved. Written for Sales Operations Administrators; assumes CRM access with the Intermediary Admin profile.
📊 Operational overview
Operational control indicators
- CRM setup accuracy target: 99%
- Validation rule exception rate monitored monthly
- Activation segregation compliance target: 100%
- Document naming compliance target: 100%
- Duplicate record incidents tracked through QA reviews
Continuous improvement focus
- Reduce duplicate intermediary record creation
- Improve validation rule guidance for onboarding users
- Standardise commission structure selection practices
- Increase automation of document naming validation
- Monitor recurring CRM setup defects during operational QA reviews
✅ Before you start
- Approved review template with both reviewer sign-offs
- Commission structure confirmation from Distribution Manager
- Verified banking details (bank confirmation letter, less than 3 months old)
⛔ Control restriction: Custom commission percentages must not be configured without an approved Distribution Manager exception recorded against the intermediary account.
✅ Procedure
In CRM, go to Accounts → New → Intermediary.
Enter the legal entity name exactly as it appears on the FSP licence. Trading names go in the Trading As field, never the legal name field.
Capture the FSP number in the Regulatory Licence field. The record cannot be activated without it — this is enforced by validation rule VR-INT-011.
Link the record to its parent group if the intermediary belongs to a broker group (lookup on Parent Account).
Create the commission structure: Related → Commission Agreements → New, select the approved structure code. Do not create custom percentages — deviations need a Distribution Manager exception recorded on the account.
Attach the review pack, mandate and bank confirmation under Files, using the naming convention YYYY-MM-DD_<doctype>_<entity>.
Set Status to Pending Activation. Activation itself is done by a second administrator (segregation control CTRL-D-07).
⚠️ Exception and escalation handling
Symptom | Cause | Fix |
|---|---|---|
VR-INT-011 blocks save | FSP number missing or malformed | Format is FSP + digits, no spaces |
Duplicate warning | Entity already exists, possibly deactivated | Never create a duplicate — reactivate via Distribution Manager |
Commission agreement rejected | Structure code not approved for this channel | Confirm code with Distribution Manager |