Appointed Representatives (ARs)

Our services cater to companies seeking to establish a compliant AR network or ensure the ongoing regulatory adherence of their existing network.


ServicesAuthorisation & Applications | Appointed Representatives


Exploring the Appointed Representative (AR) pathway

We have a strong track record in assisting principal firms with the onboarding and ongoing monitoring of their Appointed Representatives (ARs) networks. Our expertise includes successfully onboarding and actively monitoring a large number of ARs, helping principal firms to expand their networks effectively while maintaining the necessary oversight and control.

Principal firms have a critical responsibility to ensure that every AR in their network is ‘fit and proper’ and adheres to the relevant regulatory standards and rules. It's crucial for the compliance of the network as any non-compliance issues will directly impact the principal firm. For those interested in becoming a principal or developing a network of ARs, this offers a promising avenue to broaden your salesforce and enhance your business growth. However, leveraging these benefits requires adherence to stringent regulatory obligations, significant compliance resources, and the implementation of robust systems and processes to manage these networks efficiently.

For those considering the role of an AR instead of becoming a principal firm, we provide detailed insights into the differences between being an AR and obtaining full authorization. If, after reviewing, you find that becoming an AR does not suit your firm’s needs, we are here to assist with the complete authorization application process. Visit our dedicated page for more information.

AR support options

If you are interested in pursuing a leadership role as a principal or establishing a network of Authorized Representatives (ARs), please review our range of service offerings below to explore how we can provide assistance.

The industries we specialize in...

AZH-Capital Markets

Capital Markets

Our capital markets team offers asset managers and broker-dealers expert regulatory services.​


AZH-Wealth Management

Wealth Management

Our experienced Wealth Management Team simplifies complex regulations, providing clear guidance and interpretation.


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Wholesale Investment Firms

Our team assists various clients in wholesale, including hedge fund managers, private market firms, brokers, and corporate finance entities.


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Payment Services and Cryptoassets

Our capital markets team offers asset managers and broker-dealers expert regulatory services.​


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Insurance, Mortgages and Claims

We assist clients in the insurance industry, including brokers, companies, and intermediaries like motor dealerships and call centers.


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Consumer Credit

We've streamlined compliance requirements for lenders, brokers, and consumer credit businesses in various sectors.