Priscilla GaudoinAug 25, 2022Dawning of a tougher Appointed Representatives RegimeThe Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the...
Priscilla GaudoinJul 19, 2022Regulatory Initiatives Forum Update The Financial Services Regulatory Initiatives Forum published its latest update in May. The Regulatory Initiatives Grid (Grid)...
Priscilla GaudoinJan 21, 2022How well do you know your Appointed Representatives?In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The...