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Appointed Reps Oversight

Keep your staff
close
and your Appointed Representatives closer

Gain improved oversight of your appointed representatives
and encourage high standards of conduct with Ruleguard's all-in-one compliance platform.

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Benefits of Ruleguard’s 
Appointed Representative solutions

We help you align with the FCA’s appointed representatives regulations and maintain a healthy reputation. Here are just some of the benefits you can expect:

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Streamline operations

Spend less time on laborious, resource-heavy processes, and free up staff to do higher-value (and more satisfying) work.

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Simplify oversight

Track appointed representatives' activities, monitor compliance, and gather reporting data with a few clicks.

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Stay in control

How appointed representatives act ultimately reflects on you. Ruleguard makes it easy to keep a close eye on their activities.

Strong relationships need solid foundations

Ruleguard helps you put a robust, FCA-compliant appointed representative framework in place and takes the effort out of maintaining it.

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Workflow automation

If a process is repeatable, Ruleguard can automate it. That includes onboarding, reporting, termination, and regulatory updates.

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Online data sharing

Exchange critical data quickly and securely. Appointed representatives can also escalate issues in a few clicks so you can deal with them promptly.

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Comprehensive audit trail for appointed representatives

Ruleguard documents every step of your appointed representatives framework so you can show regulators concrete evidence of your processes.

In compliance with the FCA’s enhanced AR due diligence requirements, Ruleguard has developed a suite of functional features to assist principal firms in monitoring risks presented by the activities of their appointed representatives including annual compliance & self assessments.

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RULEGUARD INSIGHTS

Our latest thinking 

Read about our latest insights on regulatory updates
and risk management