Page 45 - 期货和衍生品行业监管动态（2022年8月）

期货和衍生品行业监管动态

编者按：

1. 作为改进提供给 FCA 的数据的一部分，委托公司预计将在今年晚些
时候收到关于其当前 ARs 的数据要求。

2. FCA 还新成立了一个专门的监督部门，以领导和协调 FCA 关于 ARs

的跨组织工作。

3. 即使考虑到他们的规模，平均而言，委托公司引发的监管案件和投

诉要比非委托公司（其他直接获得许可的公司）多 50%-400%。

16. FCA Confirms New Rules to Improve Oversight of Appointed

Representatives (2022/8/3)

The FCA confirms new rules to make authorised financial firms more

responsible for their appointed representatives (ARs).

ARs are not authorised by the FCA – they can offer certain financial services or
products under the responsibility of authorised firms (known as principals). Principal

firms are responsible for ensuring their ARs comply with our rules. While some

principals do this effectively, many do not adequately oversee the activities of their

ARs.

As a result, the rules will help prevent consumers being mis-sold or mis-led by

ARs and will prevent misconduct by ARs undermining markets operating fairly and

safely. Under them, principal firms will need to:

 Apply enhanced oversight of their ARs, including ensuring they have

adequate systems, controls and resources.

 Assess and monitor the risk that their ARs pose to consumers and

markets, providing similar oversight as they would to their own business.

 Review information on their ARs’ activities, business and senior

management annually, and be clear on the circumstances when they should

terminate an AR relationship.

35 / 54