Principals & Their Appointed Representatives (ARs)

Description

This course is designed to offer an overview of the FCA's rules, requirements and guidance for Principal firms and their regulatory responsibility and role when it comes to their ARs. This course pays particular attention to SUP 12 of the FCA handbook, and delegates must remember they have wider requirements and obligations throughout the broader handbook with which they must comply. Objectives

Be aware of the FCA's expectations for supervision of Appointed Representative firms
Gain an increased understanding of the enhanced reporting requirements for principal firms
Understand the role and regulatory responsibility of principal firms

"We have been working with Zing365 over the last couple of months on building our new learning platform, they have been extremely accommodating – working with us to constantly move the project forward."

Coversure

"The team have been incredibly accommodating, consistently driving the project forward with a collaborative and solutions-focused approach.

No request was ever too much, and they made a genuine effort to involve my colleague and myself at every stage of the process."

GHG Solutions

"When it came to finding the right L&D platform for our organisation, the Zing365 platform stood out from all other providers and met all our needs in terms of functionality, features and benefits."

CCTA

"We have been working with Matt & Zing 365 for some time now and they are our preferred training provider.

The quality of material and content is excellent, and the delivery of the training by Matt is the best I have ever seen in a training environment."

Protect Commercial

“The mentorship and guidance throughout the process was invaluable and we highly recommend their services and look forward to working on future projects together.”

Crawford & Company

"We have all managed to improve our approach to our individual brokers and markets, all seeing successes.

Matt also did a follow up meeting with the team which allowed us to ask any questions on things that may not have gone as expected and, from that, we managed to improve yet again."

Kentro Capital Limited

"It’s always a pleasure working with Michelle, incredibly prompt replies, helpful progress reports and structured responses to keep us updated on concurrent projects and training sessions.

The trainer (Bernie) always gets very good reviews and I still remember her training years after attending.”

Clarion

Principals & Their Appointed Representatives (ARs)

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Description

"We have been working with Zing365 over the last couple of months on building our new learning platform, they have been extremely accommodating – working with us to constantly move the project forward."

"The team have been incredibly accommodating, consistently driving the project forward with a collaborative and solutions-focused approach.

"When it came to finding the right L&D platform for our organisation, the Zing365 platform stood out from all other providers and met all our needs in terms of functionality, features and benefits."

"We have been working with Matt & Zing 365 for some time now and they are our preferred training provider.

“The mentorship and guidance throughout the process was invaluable and we highly recommend their services and look forward to working on future projects together.”

"We have all managed to improve our approach to our individual brokers and markets, all seeing successes.

"It’s always a pleasure working with Michelle, incredibly prompt replies, helpful progress reports and structured responses to keep us updated on concurrent projects and training sessions.

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