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From appointed representative controls to direct authorisation
A firm moving from appointed representative status to direct authorisation
The challenge
The firm needed controls provided to its principal firm, and then support moving to direct authorisation.
Regulatory context
The appointed representative regime, and the route from AR status to direct FCA authorisation.
What MEMA did
- Helped with controls provided to the principal firm
- Supported the firm through direct authorisation
Outcome
The firm moved from appointed representative status to direct FCA authorisation.
Client details are presented to protect confidentiality. Outcomes reflect specific engagements and are not a guarantee of results, as every firm's circumstances differ.
Related:AR to Direct Authorisation →
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