Many firms, particularly in Consumer Credit and Insurance, want to build an Appointed Representative (AR) network. We have onboarded and continue to monitor over 500 Appointed Representatives (ARs), which means we appreciate that the strict FCA regulatory obligations require significant resources and robust systems and processes. This can place onerous demands on teams that are already under considerable pressure or which lack the knowledge and expertise required.
Our experts use robust processes that meet the FCA’s exacting demands to offer you a fast, effective service, powered by our RegTech platform Compliancy.CAM. Not only does this provide you with full visibility and control, but you have on demand access to management dashboards and reports that enable decision-making and reporting to your board.
Our onboarding and monitoring service follows a six step process designed to meet the demands outlined by the FCA Thematic Review of Principals and their ARs
Using Compliancy.CAM you can evidence the implementation and management of your AR compliance framework for your board and, if necessary, the FCA
A modular format means you can outsource all or part of the AR compliance management process to Compliancy Services
Our 10-point checklist can help you see if you’re meeting the FCA expectations
An AR network is an attractive opportunity to expand your salesforce and grow your business. With our in-depth knowledge of AR compliance management and our efficient RegTech service we can help you avoid FCA compliance pitfalls and free you up to concentrate on your core business and objectives.
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We can help UK and EEA firms consider their Brexit strategy and offer award winning FCA authorisation services should EEA firms have to be directly authorised
Fifth Money Laundering Directive
5MLD introduces a number of enhancements which strengthen financial crime regulation and for the first time brings cryptocurrency firms into scope
PSD2 has significant reporting and notification requirements, strict ongoing regulatory obligations and mandatory annual audits, some of which require independent verification.
Includes ex-regulators, industry practitioners and subject matter experts
Through the breadth and depth of their collective expertise and experience, we offer an outstanding service. Reducing the regulatory burden, minimising your time and resources, and ensuring that compliance makes a positive contribution to your business.