Appointed RepresentativeWe work extensively with
appointed representatives
and provide a range of
support services.

Direct authorization is often costly and can involve taking on additional staff with specific compliance expertise, so the appointed representative route is likely to be value for money and value for time. Speed to market is vital for regulated businesses but maintaining compliance and staying up-to-date with regulatory requirements is equally important. Choosing the appointed representative route can provide a good balance between the two priorities.

Becoming an appointed representative is one option available to you if you wish to practice regulated activities in a specific jurisdiction. Full authorization by the regulatory authority is another option, but becoming an appointed representative is an acceptable interim arrangement and can indeed become a permanent arrangement.

We work extensively with appointed representatives and provide a range of support services for principal firms who’ve appointed or are looking to appoint Appointment Representatives

We also provide a due diligence service on prospective Appointment Representatives, and their approved persons, prior to appointment. We can review Appointment Representatives’ documentation and help you develop risk-based monitoring plans and compliance infrastructures.

As an Appointed Representative you don't need to report data to the Financial Regulatory Authorities to the jurisdiction you want to operate. We work alongside you in taking joint responsibility for your compliance, ensuring of exceptional customer outcomes. To become an appointed representative you must first decide which activities you intend to undertake. These regulated activities can then be matched up with a Principal Firm. If you have many aspects to your business, you may have more than one Principal Firm.

You can contact us for more details.