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Appointed Representative Services

regulatory  consulting

In recent years, the FCA has been increasing its scrutiny of the Appointed Representatives regime as it has identified that the harm to consumers is too high. DWF supports Appointed Representatives and Principles in navigating FCA regulation and guidance, to ensure a compliant yet proportionate approach to meeting requirements.  

Why work with our Regulatory Consulting team?

With the announced updated to the Appointed Representative regime, it is more important than ever to engage professional advisers to ensure compliance with the FCA regulations. Our integrated legal and regulatory consulting team can help you navigate through the complex and evolving FCA requirements, by deploying knowledge and resources to support the implementation of stronger requirements. 

We have extensive experience working with Appointed Representatives across the financial sector, where we help firms understand their unique regulatory position and ensure they are compliant with the relevant regulations. We also work with Principal firms to support them in building and discharging their oversight and monitoring frameworks. 

Our dedicated team can also benefit firms of any size who are seeking to take on regulatory activity in analysis of the direct authorisation versus appointed representative route, by supporting high-level assessments and reviews which align directly to key business objectives to ensure they are following the correct regulatory path. 

How we can help you

Our Regulatory Consulting team provides expert advice to allow you to effectively follow the updated FCA regulations. 

We can support you with:

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Key contacts

Get in touch today

Get in touch with a member of our team by using the details below or completing the form.
T +44 333 320 2220
+44 333 320 4440