appointed representatives

FCA clamps down on Appointed Representatives in fresh consultation

Regulation

FCA clamps down on Appointed Representatives in fresh consultation

Require stronger oversight by principals

clock 03 December 2021 • 4 min read
Adviser FSCS bills set to fall as FCA works to stabilise levy

Regulation

Adviser FSCS bills set to fall as FCA works to stabilise levy

FCA’s consumer strategy paper

clock 15 September 2021 • 3 min read

Regulation

ARs face £10m fixed fee bill under 'flawed' FCA plans

Five-week consultation

clock 26 May 2021 • 2 min read

Your profession

Fairstone sets sights on DFMs and appointed representatives

Plans for 2021

clock 19 November 2020 • 2 min read

Regulation

FCA warns networks over using 'inappropriate' introducers

Also warns of misuse of firm reference numbers

clock 03 November 2017 • 3 min read

Your profession

Beals group adds £70m FUM with adviser acquisition

Both ARs of Intrinsic

clock 15 September 2017 • 1 min read

Regulation

Principals and ARs: FCA thematic review explained

It's a matter of principal

clock 17 August 2016 • 4 min read

Regulation

Ten mistakes that led to Financial's landmark FCA recruitment ban

Ten mistakes that led to Financial's landmark FCA recruitment ban

clock 23 July 2014 • 5 min read

Investment

FOS rules On-Line Partnership liable for AR's off books advice

Network the On-Line Partnership is liable for allegedly unsuitable advice it claims one of its appointed representatives (AR) gave without its authorisation, the Financial Ombudsman Service (FOS) has ruled.

clock 18 June 2014 •

Regulation

FCA warns adviser over 'reckless' UCIS sales

The Financial Conduct Authority (FCA) has issued a warning notice to a director of an appointed representative (AR) firm for promoting and arranging unregulated collective investment schemes (UCIS) despite its network not allowing UCIS business.

clock 14 May 2014 •