AR Networks
Principal firms are responsible for the compliance of every appointed representative in their network. My Compliance Centre gives you the oversight infrastructure to manage that responsibility properly.
The FCA expects principals to have robust systems for monitoring, evidencing and managing the compliance of their AR populations. As networks grow, consistent oversight across every firm – and demonstrating it – becomes impossible to manage without proper infrastructure.
What My Compliance Centre Addresses
AR oversight and management
Register Vault provides the framework for managing your AR population – onboarding records, ongoing obligations, attestations and review processes in a single system. 60+ templates, ready to deploy and configurable to your requirements.
Attestations across your AR population
Policy and fit and proper attestations deployed across your AR population through automated workflows. Completion tracked, reminders automated, consolidated management information showing your overall network position.
Compliance monitoring
Your monitoring programme, covering both principal obligations and AR conduct oversight, deployed on a platform that assigns ownership, tracks findings and surfaces the management information your Board needs.
Your governance framework
Board and committee records, minutes, actions and attendance evidenced automatically. For principal firms wanting to demonstrate proper governance to the FCA
SMCR
Senior manager roles, responsibilities and certifications managed in one system. Evidence of the reasonable steps taken to ensure Conduct Rules compliance is structured, documented and accessible when needed.
Regulatory change
Track PSR, FCA and other developments, assign actions and evidence your firm’s response in a structured, auditable way.
What This Means in Practice
Consistent, evidenced oversight of every appointed representative in your network. Attestations completed and recorded. Monitoring findings tracked to resolution. When the FCA asks how you manage your AR population, the evidence is in the system.
Frequently Asked Questions
The platform gives principal firms one place to oversee their appointed representative population – onboarding records, ongoing obligations, attestations and reviews held in a single system, with consolidated reporting that shows your overall network position. Register Vault provides the framework for managing the AR population, and monitoring and attestations can be deployed across every firm in the network.
Policy, fit and proper attestations and other compliance ‘assets’ can be deployed across your entire AR population at once through automated workflows. Completion is tracked in real time, reminders are automated so you are not chasing individually, and consolidated management information shows you which representatives have completed and which are outstanding.
The FCA expects principals to have proper systems for monitoring, evidencing and managing the compliance of their AR populations. The platform gives you that infrastructure – consistent oversight across every representative, monitoring findings tracked to closure, attestations recorded, and a complete audit trail – so that when the FCA asks how you manage your network, the evidence is in the system.
Yes. The platform works for small networks and large ones, and scales as your network grows. You add appointed representatives to the system rather than adding administrative workload to your team, and the registers, attestations and monitoring you deploy grow with the network.
Yes. Principal firms managing appointed representative populations are among the firms using My Compliance Centre, which is used by more than 200 regulated firms and over 10,000 financial services professionals in total. Register Vault and attestations are common areas of use for managing AR oversight at scale.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
Fill in your details and we will give you a call to arrange a demo. Alternatively, call us on +44 (0)20 8017 8273 or email info@mycompliancecentre.com.