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Ruleguard’s regulatory insights & resources

Dive deep into compliance mastery and enjoy browsing through our exclusive, extensive regulatory insights and resource library tailored for Financial Services.

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Blogs

appointed representatives | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

Dawning of a tougher Appointed Representatives Regime

Dawning of a tougher Appointed Representatives Regime

third parties,  oversight,  risk management,  monitoring,  Principals,  appointed representatives,  audit trail

The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the Financial Services and Markets Act 2000 (FMSA), the Regime’s scope was broadened. The aim of the Regime has always been to provide a...

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Regulatory Initiatives Forum Update

Regulatory Initiatives Forum Update

FCA,  Regulatory initiative grid,  operational resilience,  appointed representatives

The Financial Services Regulatory Initiatives Forum published its latest update in May. The Regulatory Initiatives Grid (Grid) highlights what is in the pipeline for the FS industry over the next 24 months. Our earlier blogs explained the purpose of the Regulatory...

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How well do you know your Appointed Representatives?

How well do you know your Appointed Representatives?

governance,  third parties,  assessments,  oversight,  risk management,  monitoring,  due diligence,  competence,  appointed representatives

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...

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