For more information on RM Regulatory Services, please contact:

Ollie Farr
Product Specialist

email Ollie


David Watts
Client Management

email David



Appointed Representatives

To understand what is involved in being an Appointed Representative, you first need to understand that financial services regulation focuses on certain activities.

If you carry out one or more of those activities, you will need to be regulated, or be an Appointed Representative.

An Appointed Representative (AR) is an unregulated firm which carries out certain regulated activities (not all regulated activities are permitted to be carried out by ARs) under the regulatory umbrella of its Principal firm.

The Principal firm will ‘lend’ its regulatory status to the AR to allow it to carry out those regulated activities. In return, the Principal firm must oversee the AR and ensure that it carries out its business properly and in accordance with the FCA rules.

You can use the AR route if you wish to provide regulated activities such as investment advice to a fund, either while you are waiting for FCA approval or for the lifetime of your fund.


For more information, please contact us.