Principals and their Appointed Representatives ( AR's) is a hot topic for the FCA and they have recently issued a survey to firms who have Appointed Representatives (ARs). For some time now the FCA has found significant shortcomings in the control and oversight of ARs by their principal firms and we do not want any of our Cobra Network Members to fall into this category. We have created a number of tools to help you in your monitoring and control of Appointed Representatives, Introducer Appointed Representatives, and Introducers. Below you'll find links to a document that provides insights to . . .
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