Appointed Representatives Regulatory Responsibilities
The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook. Our Appointed Representatives Regulatory Responsibilities course outlines the regulatory responsibilities of an appointed representative.
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20 Minutes -
For all staff
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UK
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FCA Compliance Library
What you’ll learn in
this course
- Explain the FCA's Principles for Businesses and how they are relevant
- Explore risk management techniquesDiscuss the Consumer Duty
- Explain the rules surrounding financial crime and anti-money laundering
- Understand why effective handing of complaints is important
- Discuss the importance of record keeping and the provision of management information (MI) to the principal firm, and how timely, accurate and relevant MI assists oversight from the principal firm
- Understand why maintaining knowledge and competence leads to good customer outcomes
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