With the announced updated to the Appointed Representative regime, it is more important than ever to engage professional advisers to ensure compliance with the FCA regulations. Our integrated legal and regulatory consulting team can help you navigate through the complex and evolving FCA requirements, by deploying knowledge and resources to support the implementation of stronger requirements.
We have extensive experience working with Appointed Representatives across the financial sector, where we help firms understand their unique regulatory position and ensure they are compliant with the relevant regulations. We also work with Principal firms to support them in building and discharging their oversight and monitoring frameworks.
Our dedicated team can also benefit firms of any size who are seeking to take on regulatory activity in analysis of the direct authorisation versus appointed representative route, by supporting high-level assessments and reviews which align directly to key business objectives to ensure they are following the correct regulatory path.