September 30, 2022
The Financial Conduct Authority’s new rules to make authorised firms more responsible for their Appointed Representatives (ARs) and Introducer Appointed Representatives (IARs) come into force on 8th December. Our August 2022 Hot TopICS covered the new requirements in some detail and set out the FCA’s expectations of Principal firms under the new regime. This Hot TopICS picks out the key requirements and FCA expectations, and introduces a suite of new and updated template documents to assist our clients.
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