By becoming an Appointed Representative, a firm is able to carry on certain regulated activities, under a contract with a Principal Firm which holds the permissions the firm requires, and which accepts responsibility for the regulated activities carried out by its Appointed Representative(s). This avoids the need for the firm concerned to obtain direct authorisation from the FCA.
Thistle Initiatives provides Appointed Representative status through Resolution Compliance Limited: http://resolutioncompliance.co.uk/
Resolution Compliance has permissions to cover; insurance, financial advice, crowdfunding and peer 2 peer lending.
We ensure the process of becoming an Appointed Representative is thorough but speedy; our experience has allowed us to develop a detailed and efficient process to allow us to act quickly to assess your firm’s suitability, including undertaking the necessary due diligence to make sure your key people are fit and proper.
Feel free to call us for a no-obligation assessment of the best approach for your business on 020 7436 0630 or fill in your details below.