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Regulatory Hosting FAQs

What are the responsibilities of the Principal Firm?

Principal Firms must make sufficient checks on the firm looking to become an Appointed Representative (AR) to make sure they are financially stable and competent in performing regulated activities such as advising, arranging or managing funds.

The Principal firm is responsible for the products they sell, any advice they give to customers and ensuring they deliver the 6 ‘treating customers fairly’ outcomes, like a directly authorised firm would.

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