Appointed Representatives - Complyport UK Consultancy Service

FCA Says that Principal Firms are Still Not Meeting Expectations

Two years have passed since the FCA introduced its new rules aimed at improving standards in the Appointed Representative (“AR”) sector (https://www.fca.org.uk/publication/policy/ps22-11.pdf) – prompted by the FCA’s view that the […] [...]

Empowering Financial Services: The Strategic Alliance of Principals and Appointed Representatives

In the dynamic landscape of financial services, the role of Appointed Representatives (“ARs”) has been pivotal in extending the reach of regulated activities without the need for direct authorisation. However, […] [...]

New FCA Rules to Tighten up the Appointed Representatives Regime with PS22/11

A press release issued by the FCA this week confirms the introduction of new rules to improve the oversight of the Appointed Representatives regime. These rules, issued within PS22/11: Improvements […] [...]

Summary of Appointed Representatives Consultations – CP21/34

The FCA have recently published CP21/34, a consultation paper which outlines their proposed changes to the Appointed Representatives (AR) regime and addressed significant failures of Principals in their understanding of […] [...]

As The Principal firm, Do You Know What Your Appointed Representatives Are Doing?

The FCA’s review of the use of Appointed Representatives (AR) is one of its current priorities, with increased levels of harm across all sectors by ARs being noted. Therefore in […] [...]

Appointed Representative and Principal Regime Review

Review of the use of the Appointed Representatives’ (AR) regime is a priority for the FCA. The FCA has noticed an increased level of harm across all the sectors where […] [...]

Principals who have Appointed Representatives

Of relevance to: All Principals who have Appointed Representatives (ARs) or Introducer Appointed Representatives (IARs), regardless of sector Having issued an alert in August 2016 which highlighted some of the […] [...]

Bank of England and Financial Services Act 2016

Of relevance to: All firms Bank of England and Financial Services Act 2016 The Bank of England and Financial Services Act 2016 has made its way through both Houses and […] [...]

More Enforcement Actions

Related Final Notices in respect of Gerald Casey of First Colonial Investments LLP (“FCI”) and Direct Sharedeal Ltd (“DSL”) have been published. At one level it is yet another case […] [...]

Tag: Appointed Representatives

FCA Says that Principal Firms are Still Not Meeting Expectations

Empowering Financial Services: The Strategic Alliance of Principals and Appointed Representatives

New FCA Rules to Tighten up the Appointed Representatives Regime with PS22/11

Summary of Appointed Representatives Consultations – CP21/34

As The Principal firm, Do You Know What Your Appointed Representatives Are Doing?

Appointed Representative and Principal Regime Review

Principals who have Appointed Representatives

Bank of England and Financial Services Act 2016

More Enforcement Actions

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