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AR Oversight Guidance and Activities Template
This template will support members operating as Principal’s with one or more AR/IAR relationships. It sets out key responsibilities placed on Principal's in terms of relationship management and oversight and will support member firms to evidence compliance with their responsibilities. The next tab hosts the AR/IAR Oversight Activities Template. This includes areas the FCA are likely to query and examples of how your business may satisfy these. The NACFB would encourage members to work through this document and record detail of how your firm can evidence that these ongoing regulatory requirements are being met with confidence.
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Related Documents
AR/IAR agreement
Introducer Agreement
Self- Employed Agent Agreement
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