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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.

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Services ｜ Authorisation & Applications ｜ Appointed Representatives

HOW WE HELP

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.

Our service integrates our proficiency in AR compliance management with state-of-the-art technology to provide a customized solution that aligns perfectly with your specific needs. Through an interactive data reporting platform, our system offers comprehensive risk analysis and business intelligence to facilitate informed risk and compliance decision-making on a continuous basis, ensuring you stay ahead of the game. We are well-equipped to assist you with:

  • Ongoing due diligence processes
  • Fitness and propriety evaluations
  • Electronic audits
  • Background screenings

We offer a comprehensive and compliant AR (Appointed Representative) framework for firms aiming to become Principals and manage their own network of ARs. Our system is designed to effectively demonstrate the implementation and oversight of your AR compliance framework, ensuring it is structured correctly to minimize any risks associated with AR activities.

If your firm is already in the process of developing this framework, we can conduct a review of your progress to ensure that it aligns with regulatory expectations, providing peace of mind and ensuring compliance throughout your network's operations.

If you determine that becoming an AR (Appointed Representative) does not align with your business objectives, we provide three distinct service options to assist you with the entire authorization application process. For those uncertain about how to initiate this journey, our team, comprising compliance experts and former regulators, is equipped to guide you from the initial stages through to completion, including both preparation and continuous support.