Compliance Monitor
One in three self-assessments on AR oversight fall below FCA expectations
A third of the self-assessments for firms overseeing appointed representatives (ARs) are under the standard set by the FCA.
By Neasa MacErlean
This is one of the findings in
a review carried out by the regulator to see to what extent its "
new rules and enhanced expectations" have been observed correctly since their introduction in December 2022.