By Kyte Ekstrom | Agent Relationship, Appointed Agent, Appointed Representative, Appointed Representatives Regime, Principal Firms, Regulatory Hosting, Umbrella Services | 0 Comments
On 3 December last year, the FCA launched a consultation on improving the appointed representatives (AR) regime. The proposed changes seek to place greater compliance responsibilities on firms involved in the regime. I’ll be exploring some of the reasons behind the review and the recommendations made by the regulator. What is the AR regime? The […]
Read MoreBy Kyte Ekstrom | Compliance, FCA Regulation, FinTech, News | 0 Comments
There is an old compliance joke. Yes, there are actually some jokes in compliance. No, they aren’t all funny! Some of them are the regulations themselves. In any case, there is a compliance joke which dips its toes into also poking fun at our dear departed friends, the EU. Although it has since been found […]
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