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Operational Resilience: Protect Investors & Enhance Compliance
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Financial Crime: Preventing Market Abuse
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Best Practice in Third Party Risk Management
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Ruleguard’s regulatory insights & resources

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Principals | 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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