Appointed Representatives Checklist

  • Posted on: 19 July 2018

The strategy of creating a network of ARs presents an attractive opportunity for firms to expand their salesforce and grow their business.

Firms taking advantage of these benefits have to meet strict FCA regulatory obligations. These require significant compliance resources and robust systems and processes, placing onerous demands on teams that are already under considerable pressure or which lack the knowledge and expertise required. Our checklist summaries these expectations.

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