Ensuring Compliance with the FCA’s Appointed Representatives Regime

Introduction

The Appointed Representatives Regime is designed to enable a faster route to market for entities undertaking regulated activity on behalf of another, already regulated firm. When used proportionally the framework provides a flexible solution, often used by organisations who operate in a group structure or have close relationships with suppliers.

However, the FCA was concerned the regime was not used in a proportionate manner, resulting in poor practices from Appointed Representative firms (ARs) which often stemmed from a lack of oversight and control by the principal firm. The FCA have therefore enhanced the standards expected of principals, and this webinar looks at those standards and what is expected in detail.

This webinar is aimed at compliance and operational staff in regulated financial services firms operating an AR model or those looking to do so in the near future.

What You Will Learn

This webinar will cover the following:

• AR Regime: Key Components
• Assessing the risk of ARs
• Due diligence: a detailed look at the due diligence requirements
• Notification requirements
• Terminating the relationship with an AR
• Recent FCA updates and/or enforcement action

This pre-recorded webinar will be available to view from Friday 6th February 2026

Alternatively, you can gain access to this webinar and 1,900+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.