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 🔎 operational quality controls validate intermediary names directly against the regulatory licence to prevent downstream reconciliation issues confirm parent group hierarchy relationships before activation to avoid reporting inconsistencies ensure all uploaded evidence follows approved naming standards for audit retrieval purposes escalate duplicate record uncertainties before creating additional intermediary accounts review recurring validation errors to identify training or system enhancement opportunities