The Appointed Representative Regime

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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.

After completing this Appropriate Representative 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