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Appointed Representatives (ARs)
Understand the FCA's appointed representative regime: what ARs are, principal firm obligations, oversight requirements, and the FCA's increased scrutiny of the AR model.
1 modules, 1 lessons~7 minutes80% pass mark4 flipcards, 1 scenario
CPD Aligned
This course provides general guidance on the appointed representative regime. Principal firms should seek specialist legal and compliance advice on their specific oversight obligations.
What you will learn
- Explain what an appointed representative is and how the regime works
- Describe the principal firm's responsibilities for AR oversight
- Identify the FCA's key concerns about the AR model
- Understand the enhanced due diligence and monitoring requirements
Who is this for?
Staff at principal firms and appointed representatives, including compliance officers, supervisors, and anyone involved in managing the AR relationship
Course details
Duration~7 min
Modules1
Lessons1
Pass mark80%
CertificateYes
CPD Hours0.1
Jurisdiction
United Kingdom - Financial Services and Markets Act 2000, s.39; FCA SUP 12 (Appointed representatives)
Course Modules
1
The Appointed Representative Regime
~7 minHow the AR model works and what principals must do
Principal Firm Responsibilities
AudioVisualFlipcardsScenario
Assessment - 4 questions
Total Questions
4
Pass Mark
80%
Audio
1/1
Certificate
Yes
v1.0.0 | Updated 2026-07-01 | Sources verified 2026-07-01
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