Page 405 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

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.

 Notify the FCA of future AR appointments 30 calendar days before it

takes effect.

 Provide complaints and revenue information for each AR to the FCA on

an annual basis.

 As part of its new three-year strategy to improve outcomes for

consumers and markets, the FCA is also undertaking targeted supervision of

principal firms across the whole financial services sector, using improved data

and analytical tools to focus its work. It’s also increasing scrutiny on firms

applying for authorisation and as they appoint ARs.

The new rules do not change the fact that principals are responsible for the
activities of their ARs. The FCA is working with HMT to explore if further changes

are needed to the AR Regime, which would require future legislative change.

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