FIN.

FCA updates ARs page

FCA has updated its website page on Appointed Representatives, to reflect the changes coming in on 8 December.  Among other things, the page reminds firms of:

  • the s165 information request that principals will receive between 8-10 December;
  • the upcoming need to notify FCA of future AR appointments at least 30 days in advance;
  • the need to tell FCA at least 10 days in advance of any changes to the scope of an AR’s permitted activities, and to tell it within 10 days of any other change taking place;
  • the requirement to notify FCA at least 60 days in advance of starting regulatory hosting services;
  • the complaints and revenue data on ARs, due within 60 days of a firm’s annual reporting date, from 30 November 2023; and
  • FCA expectations on how firms supervise their ARs and their systems and controls, including its expectations on an annual review of ARs and the firm’s own annual self-assessment.
Emma Radmore

Emma Radmore

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