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Posted in Regulatory and legislative updates, UK

A useful reminder for the general insurance sector: FCA’s multi-firm review into the supervision by principal firms of their ARs in the investment management sector

On 20 May 2019, the FCA published findings from its multi-firm review into the supervision by principal firms of their appointed representatives (“ARs“) in the investment management sector (“Investment Management Sector Review“). This review was conducted following the publication in July 2016 of the FCA’s Thematic Review TR16/6: Principals and their appointed representatives in the