Fca Iar Agreement

However, these companies must take into account all audits related to the exemption from authorisation. Where an enterprise is a representative designated by the introducer to one principal enterprise and a designated representative to another, the financial services register shall indicate the enterprise as the RA. However, it is important that you think carefully about what you allow them for the existing and new beginners you are considering. If they do anything other than provide you with contact information, their activity may well fall back within the scope of the regulation. . . .

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