Video – Compliance Conduct Monitoring – Appointed Representatives

Compliance Conduct Monitoring – Appointed Representatives

  • The FCA has identified critically important areas in relation to principal firms’ understanding of their regulatory obligations and control and oversight of their ARs activities.
  • A crucial aspect of Appointed Representative monitoring is to be able to evidence and keep records of all interactions and communication with the respective Appointed Representative.

In this video – find out how Lawson Conner’s experts and software can help you develop monitoring plans conduct monitoring and ensure you remain compliant and meet FCA expectations.

Contact us today for more information.