FCA’s Appointed Representatives Regime: are you compliant?

The Financial Conduct Authority’s (“FCA”) changes for Appointed Representatives (“AR”) have been implemented to ensure that the UK’s financial sector remains compliant and transparent. The new rules (“New Rules”) came into effect on 8 December 2022 and allows unauthorised firms to engage in regulated activities without having to be authorised by the FCA and affected firms will need to take the necessary steps to ensure compliance…

We’ve produced a print and keep guide summarising the New Rules and laying out what firms need to know about the FCA’s annual reviews and self-assessments for ARs, which must be completed by 30 November this year.

Please click below to access it:

For more information on the Appointed Representatives Regime, Cleveland & Co External in-house counsel™, your specialist outsourced legal team, are here to help.

Please click here to follow us on LinkedIn to receive the latest information on this and other important topics.