---
title: Work instruction: Creating CRM records
slug: sales-operations/work-instruction-creating-crm-records
icon: {"lucideIcon":"Database"}
docTags: 
createdAt: 2026-08-17T11:14:21.862Z
---

# 🎯 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

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### 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
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### 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
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# ✅ 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)

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**⛔ Control restriction:** Custom commission percentages must not be configured without an approved Distribution Manager exception recorded against the intermediary account.
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# ✅ Procedure

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In CRM, go to **Accounts → New → Intermediary**.
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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.
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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.
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Link the record to its parent group if the intermediary belongs to a broker group (lookup on *Parent Account*).
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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.
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Attach the review pack, mandate and bank confirmation under *Files*, using the naming convention `YYYY-MM-DD_<doctype>_<entity>`.
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Set *Status* to **Pending Activation**. Activation itself is done by a second administrator (segregation control CTRL-D-07).
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# ⚠️ 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                         |

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## 🔎 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.
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