Principal Firms & Appointed Representatives - What the FCA Expects

Introduction

This virtual classroom seminar will be relevant to managers, certified roles and compliance functions of FCA authorised firms and focuses on the new deadline of 8 December 2022.

The Principal/AR model can be beneficial for firms and consumers within the financial services sector, but only if you know what you’re doing.

This session will ensure that you are put clearly in the picture as to what the FCA expects and what you need to avoid.

What You Will Learn

This live and interactive session will cover the following:

• Appointed representatives and the principal firm - how does it work?
• Why the model can be beneficial to firms and consumers
• What the FCA expects
• The challenges
• What a good Principal/AR operating model looks like
• What to do if it all goes wrong

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.