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Regulatory Hosting FAQs

What are the key regulatory responsibilities of an Appointed Representative (AR)?

Even though you are not reporting directly to the regulator, it is still necessary for you to understand and comply with the regulatory requirements for the business you do. It is also important to stay within the scope of the permissions your principal firm have agreed for you to undertake and that you facilitate the principal firm's regular checks as they need to ensure AR’s remains compliant, financially stable and competent to carry out its activities.

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