Principals & Appointed Representatives - Navigating the Challenges & FCA Expectations

Introduction

The Principal/Appointed Representative model offers the potential for positive, beneficial outcomes for both Principal and AR, however, this operating model also has the potential to bring about critical regulatory pitfalls.

This new virtual classroom seminar encompasses an extensive deep dive of the Principal/AR regime and will be relevant to board members, senior managers, heads of compliance, and managers working within principal firms and as ARs.

This session will equip you with actionable insights into FCA expectations and provide a clear path to compliance and operational excellence.

You will be walked through all stages of the Principal-AR relationship from the supervisory oversight framework to initial due diligence, onboarding, ongoing monitoring, exiting the business relationship, management information, AR training, governance, and more.

What You Will Learn

This live and interactive course will cover the following:

• Principals and ARs - how does the model work?
• What does the FCA tell us?
• Common challenges for principals
• The framework for a robust operating model
• The principal/AR lifecycle
• Creating a healthy principal/AR culture
• 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.