Principal Firms & Appointed Representatives - What the FCA Expects

Introduction

This virtual classroom seminar encompasses an extensive deep dive of the Principal/AR Regime and will be relevant to managers, certified roles and compliance functions of FCA authorised firms.

Whether you are new to the Principal/AR Regime, or looking to enhance your insight, the session is designed to help you effectively navigate the challenges.

The Principal/AR model offers the potential for positive beneficial outcomes; however, this operating model also has the potential to bring about critical regulatory pitfalls.

This session will equip you with actionable insights into FCA expectations and provide a clear path to compliance and operational excellence.

What You Will Learn

This live and interactive session will cover the following:

• Appointed representatives and the principal firm - how does it work?
• Why the model can be beneficial to firms and consumers
• What the FCA expects
• The challenges
• What a good Principal/AR operating model looks like
• What to do if it all goes wrong

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.