Appointed Representative Monitoring Program


Reduce compliance risks and increase efficienty through smart monitoring technology


Key Features and Benefits

On 26th July 2016 the FCA highlighted a number of significant failings by Principal Firms to adequately monitor their Appointed Representative Firms. Lawson Conner has developed a market leading software solution for Principal Firms to manage their Appointed Representatives. The comprehensive software suite addresses the FCA’s concerns and significantly reduces compliance risk for firms. Our software has been used by more than 1,000 Control Functions and 300 Appointed Representatives with outstanding success.

Our solution covers the following compliance topics:

  • Onboarding of Appointed Representatives with all relevant internal and external compliance checks
  • Development of flexible compliance monitoring plans for Appointed Representatives
  • Ongoing management of the individual monitoring plan
  • Workflow Management of Compliance Logs for Appointed Representatives
  • Full Audit trail of compliance conduct for Appointed Representatives

Our solution offers the maximum flexibility for the Principal Firm as well as covering all FCA Appointed Representative compliance topics.

We offer our solution in two ways: either fully outsourced or self-managed software. We are the only service provider in the UK that can operate an entire compliance program for Appointed Representatives. Our solution reduces administrative costs for Principal Firms by up to 50-80%.

Contact us

For more information contact
Joe Woodbury
E: jwoodbury@lawsonconner.com
D: +44 (0) 203 696 2560

Andrew Frost
E: afrost@lawsonconner.com
D: +44 (0) 203 696 2568

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Key Features and Benefits


Contact us

For more information contact
Joe Woodbury
E: jwoodbury@lawsonconner.com
D: +44 (0) 203 696 2560

Andrew Frost
E: afrost@lawsonconner.com
D: +44 (0) 203 696 2568

Download PDF Information
Download PDF Information


On 26th July 2016 the FCA highlighted a number of significant failings by Principal Firms to adequately monitor their Appointed Representative Firms. Lawson Conner has developed a market leading software solution for Principal Firms to manage their Appointed Representatives. The comprehensive software suite addresses the FCA’s concerns and significantly reduces compliance risk for firms. Our software has been used by more than 1,000 Control Functions and 300 Appointed Representatives with outstanding success.

Our solution covers the following compliance topics:

  • Onboarding of Appointed Representatives with all relevant internal and external compliance checks
  • Development of flexible compliance monitoring plans for Appointed Representatives
  • Ongoing management of the individual monitoring plan
  • Workflow Management of Compliance Logs for Appointed Representatives
  • Full Audit trail of compliance conduct for Appointed Representatives

Our solution offers the maximum flexibility for the Principal Firm as well as covering all FCA Appointed Representative compliance topics.

We offer our solution in two ways: either fully outsourced or self-managed software. We are the only service provider in the UK that can operate an entire compliance program for Appointed Representatives. Our solution reduces administrative costs for Principal Firms by up to 50-80%.