Cobra Compliance: Appointed Representative Survey

The FCA have sent out a survey to firms who have ARs and IARs that must be completed by mid-December.

Reviewing the use of ARs has been a priority for the FCA for some time. Back in 2016 the FCA found significant shortcomings in the control and oversight of ARs by their principal firms.

Please click the following link to review the concerns raised at that time which remain consistent with the concerns raised today.

If you have . . .

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