Find out which points you should review before completing an Appointed Representative’s application.
Watch a tutorial video on How to use Connect[1] which gives an overview of key features of the system.
Read our Appointed Representatives[2] pages.
Add Appointed Representatives (ARs)
Adding an Introducer Appointed Representative (IAR)
During this process you will need to select a business activity(ies) that the new IAR will be introducing for. The question is the same for AR’s and IAR’s, for IAR’s it is for introducing only.
IAR/AR Status displayed on Register Appointed Representatives
If a firm is an Introducer Appointed Representative with one Principal Firm and an Appointed Representative with another, the Financial Services Register[3] will show the firm as an AR.
Contact for Insurance Distribution
If one of the AR’s activities is confirmed as Insurance Distribution, the Principal Firm will need to confirm the name of the individual who will act as the contact for Insurance Distribution.
Terminate AR or IAR
1. Individual to Retain Controlled Function
The Principal firm will need to remove links of any individuals to the AR first by completing an Approved Persons Application - Notification of Changes in Personal Information.
Once the Application(s) have been approved by the FCA/PRA, the Principal firm will need to complete the Appointed Representatives Application - Terminate Appointed Representative.
2. Individual no Longer Requires Controlled Function
Firms will first need to remove the CF by completing an Approved Persons - Notification to Cease a Controlled Function. If the individual is linked to any other AR, and holds a CF30 or CF(AR) for any other Principal firm, their link will not terminate. The firm will then need to complete an Approved Persons Application - Notification of Changes in Personal Information to terminate the link. Once the link has been terminated, the firm will need to complete the Appointed Representatives Application - Terminate Appointed Representative.
Change AR Details
Select this option to:
- change Contact for Insurance Distribution
- add or remove Trading names
- change AR/IAR details, name, address contacts etc
