Appointed Representative & Principal Firms
Whether you are onboarding ARs or operating under a principal firm, we help you meet FCA expectations on oversight, compliance monitoring, and accountability.
What the FCA Expects
Strong controls, clear accountability, and documented oversight of AR activity.
Due Diligence
Robust onboarding checks, financial soundness, and fitness assessments.
Ongoing Monitoring
Regular file reviews, MI reporting, and compliance testing.
Clear Accountability
Defined governance roles, responsibilities, and escalation paths.
Risk Management
Proactive identification of AR risks and timely remediation.
Support for Principal Firms
We help principals design and operate effective AR oversight frameworks that stand up to FCA scrutiny. From onboarding checklists to periodic monitoring plans, we tailor a practical approach around your risk profile.
- - AR onboarding and due diligence workflows
- - Oversight policies, procedures, and MI dashboards
- - File reviews and thematic monitoring
- - Training and accountability frameworks
Support for ARs
For appointed representatives, we provide practical compliance support and help you understand principal firm expectations, ensuring your business operates within the agreed scope and regulatory boundaries.
- - Compliance gap analysis and action plans
- - Policy and document support
- - Conduct and training guidance
- - Ongoing regulatory updates
Get Expert Help on the AR Regime
Speak to our FCA specialists about strengthening oversight and meeting regulatory expectations.
Talk to an Expert