Appointing and monitoring appointed representatives or FCA-registered tied agents: checklist | Practical Law

Appointing and monitoring appointed representatives or FCA-registered tied agents: checklist | Practical Law

A checklist outlining the factors in Chapter 12 of the Supervision manual (SUP 12) in the FCA Handbook, which an authorised firm should take into account when considering whether to appoint an appointed representative or FCA-registered tied agent. It also sets out the key issues firms should consider as part of monitoring their appointed representatives.

Appointing and monitoring appointed representatives or FCA-registered tied agents: checklist

MaintainedUnited Kingdom
A checklist outlining the factors in Chapter 12 of the Supervision manual (SUP 12) in the FCA Handbook, which an authorised firm should take into account when considering whether to appoint an appointed representative or FCA-registered tied agent. It also sets out the key issues firms should consider as part of monitoring their appointed representatives.