The Appointed Representatives Regime: Meeting FCA Requirements

Introduction

The Principal/Appointed Representative (AR) model offers significant opportunities for growth and positive outcomes for both Principals and ARs. At the same time, it carries inherent regulatory risks that can lead to serious compliance issues if not effectively managed.

This 3-hour live and interactive session is designed for board members, senior managers, heads of compliance, and operational managers working in Principal firms and ARs. Whether you are new to the regime or seeking to strengthen your knowledge, this session provides practical guidance to navigate challenges, manage risks, and meet FCA expectations.

You will gain actionable insights into FCA requirements, governance, and operational excellence across all stages of the Principal / AR relationship including onboarding, due diligence, and ongoing monitoring to exiting the relationship, reporting, training, and governance.

What You Will Learn

This live and interactive session will cover the following:

• FCA Expectations for Principles and Ars
• Common Pitfalls
• FCA Enforcement Examples
• Onboarding, Due Diligence and Risk Assessment
• Ongoing Monitoring and Governance
• Training, Culture and Conduct
• Exiting Principal / AR Relationship
• Managing Risk

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.