E-Learning Login
Compliance Portal
October 27, 2024
Having tested and reviewed how well Principal firms have embedded the requirements of the enhanced Appointed Representatives (ARs) regime, the FCA has set out good practice and areas for improvement to help Principal firms effectively oversee and monitor their ARs. The enhanced regime elevated the FCA’s expectations of Principal firms’ oversight of their ARs. Principals must now carry out annual reviews of each of their ARs, and annual self-assessments of their ability to oversee all their ARs. The FCA has outlined its findings in a review report, which will be relevant to all firms that currently have ARs or intend to have ARs in future. This includes Introducer ARs (IARs), unless stated otherwise.
To access full articles, clients can log into the ICS Compliance Manual or complete the form below for 14 days free access.
We will use your data to contact you in relation to the article you have selected and by submitting this information you agree for us to add you to our mailing list, from which we will provide you with content relevant to and further information about our services from time to time, where we think you will find this useful.
Should you wish to unsubscribe, you can let us know at any time, including by selecting the unsubscribe button in our emails or, alternatively, email , following which your request to unsubscribe will be processed.
View our Privacy Policy for further details.
