Are you a Compliant Appointed Representative?


Over two years ago the Financial Conduct Authority undertook a detailed study looking at various compliance aspects of Appointed Representatives.

If you have not read it, I would strongly urge you to do so, here is the link:

The conclusion of this report was that Appointed Representatives should have the same compliance processes in place as their Principals.

Are you confident that you are compliant if you were to be questioned by the FCA? If you are unsure, I strongly recommend talking to us.


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