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The unique regulatory challenges presented by Overseas Appointed Representatives
In a post earlier this year which you can read here we talked about the Appointed Representative (AR) regime as a continued area of focus...
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Guidance for firms with appointed representatives – “regulatory hosting”
By Pritpal Virdee
On 11 July 2023, the FCA published a new webpage providing information for principal firms operating as “regulatory hosts”.
FCA proposes stronger requirements on oversight of appointed representatives
On 3rd December 2021 the FCA launched a consultation (CP21/34) on improving the appointed representatives (AR) regime.
The FCA is seeing a...
FCA Business Plan focus: oversight of Appointed Representatives
The FCA's Business Plan for 2023/24, covered in overview in our earlier post, reiterates the FCA's focus on reducing misconduct that can...
FCA’s Business Plan series – the commitment to minimising the impact of operational disruptions and the proposed regime for critical third parties
Continuing our series of posts on the commitments made by the FCA in its Business Plan for 2024/5 (the Business Plan) we turn our focus...
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