Principals & Their Appointed Representatives (ARs)

Governance, Risk & Compliance (Insurance)

DETAILS

Principals & Their Appointed Representatives (ARs)

Credits CPD 1

Course Length 1 hr

DESCRIPTION

This course is designed to offer an overview of the FCA’s rules, requirements and guidance for Principal firms and their regulatory responsibility and role when it comes to their ARs.

This course pays particular attention to SUP 12 of the FCA handbook, and delegates must remember they have wider requirements and obligations throughout the broader handbook with which they must comply.

OBJECTIVES

Be aware of the FCA’s expectations for supervision of Appointed Representative firms
Gain an increased understanding of the enhanced reporting requirements for principal firms
Understand the role and regulatory responsibility of principal firms

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If you require further advice on the suitability of this course, please call our experts on 0117 248 2731

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