Spotlight on the Appointed Representative Regime: How to implement a robust & resilient oversight process

Thursday 2 November 2023 |
 10:30 am
 – 11:30 am


Thursday 2 November 2023

Start Time:  

10:30 am




How to implement a robust & resilient oversight process

Principal firms are now under greater scrutiny from the regulator and need to ensure appropriate measures are taken to prevent harm to the consumer.  During this session, we’ll help you with practical tips on how to demonstrate robust oversight of your Appointed Representatives.

Join our panel as we delve into the various aspects of the Appointed Representatives Regime including:

  • What is the Appointed Representative (AR) Regime?
  • How does this arrangement benefit both ARs and Principal firms?
  • What’s new for Principal firms and their ARs?
  • How to manage regulatory expectations
  • Getting to grips with your key responsibilities

Our Head of Risk & Compliance and Platform Director will be delighted to share valuable insights on how to showcase robust oversight.

Make possibility reality

Become an IA FinTech Member
and see where it takes you.

Login to your account