The Appointed Representative Regime
This course covers the new rules which came into force on 8 December 2022 and applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA) which have responsibility for appointed representative (ARs). The content assumes an existing knowledge of AR supervision and the previous regulatory landscapes.
£75.00
Full Description
After completing this course you will:
- Have an understanding of the new reporting obligations placed upon principal firms and their ARS by the FCA
- Be acquainted with the new rules governing the appointment and supervision of AR’s
- Know what to look out for when reviewing an AR’s performance
- Be clear about when an AR’s contract should be terminated
