Principal Firms – Time to Act

25th August 2022

Principal Firms - Time to Act!

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.

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REG Technologies

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