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Become an Appointed Representative

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An Expert With FCA Rules & Regulations

When we talk about entering into a partnership with our clients it’s much more than simply a slogan. We offer the option of becoming an appointed representative, and it’s an option which many of our clients are more than happy to take because it involves our experts taking over the most complex aspects of handling FCA rules and regulations.

In simple terms, you can trust us to take responsibility for ensuring that your business complies with all FCA rules, at the same time as acting as an FCA authorised agent on your behalf. Once we’ve become an Appointed Representative you can rely on us to make sure that you have everything you need to understand and comply with all regulatory requirements. We take care of the FCA, leaving you free to take care of business.

The practical details of the service we provide include a monthly audit which will drill down into each and every customer record in order to check for full compliance, and a monthly email containing staff training data. In more general terms we’ll make sure that you’re always completely up to date with the latest FCA information and will provide industry-leading advice on FCA related matters such as the following:

 

  • The products which you sell to and arrange for your customers
  • Any advice which you offer to your customers
  • Delivering the level of service that would be expected from a directly authorised business, with particular emphasis on the 6 key outcomes outlined by our commitment to Treating Customers Fairly (TCF) – we make it a business culture.
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STREAMLINE & ENHANCE PERFORMANCE WITH

A flexible platform that works the way you need it to

Built on a flexible and fully supported platform, specifically designed to be beautifully simple and easy to use while maintaining compliance in a multitude of areas.

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