Principal Firms – Under the Spotlight
Challenges and obligations in the Appointed Representative regime.
Whitepapers
Principal Firms – Time to Act
25th August 2022
Whitepapers
25th August 2022
In December 2021, REG published ‘Principal Firms – Under theSpotlight’, where we looked at proposed changes and obligations in the Appointed Representative (AR) regime. Our publicationspecifically focussed on the FCA’s anticipated changes andrevisions to its legislation on the way Principal Firms oversee their ARs.
The FCA have now published their confirmed changes to the AR regime, which Principal Firms must adhere to by 8th December 2022.
This publication, ‘Principal Firms – Time To Act!’, addresses the FCA’s final rules to the AR regime, which aim to enhance the protection of consumers and markets.
Challenges and obligations in the Appointed Representative regime.