Appointed Representative Annual Review Template

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BUNDLE INCLUDING ALL THREE DOCUMENTS IS ALSO AVAILABLE.

FORMAT: All documents are downloadable via email upon receipt of payment.

Effective oversight of Appointed Representatives (ARs) is a core responsibility for Principal firms, and the FCA expects Principals to take a structured and proactive approach to assessing the suitability and performance of each AR they appoint. Completing an annual AR Review is key to demonstrating that oversight remains proportionate, robust, and aligned to regulatory expectations.

This review is not just a form-filling exercise; it provides a structured assessment of each AR’s fitness and propriety, financial stability, conduct, and compliance arrangements. It also ensures you can evidence that monitoring, training, and reporting arrangements remain appropriate, and that the AR continues to operate within the scope and expectations of their appointment.

Our AR Annual Review Template is designed to guide you through each key area of due diligence and ongoing assessment. It provides clear documentation of your oversight standards and a practical framework to identify any areas where strengthening controls, providing guidance, or making improvements may be beneficial.

By purchasing this document, you will have a clear and comprehensive structure to support your annual AR oversight process. This enables you to confidently demonstrate compliance, manage emerging risks, and ensure your AR arrangements continue to align with both the AR Regime and the Consumer Duty.

Please Note: While Introducer Appointed Representatives (IARs) fall under the AR Regime, they are considered lower risk and are not required to undergo an annual AR Review. However, they must still be included in the Principal Self-Assessment to ensure that oversight of IARs remains appropriate to their activities and risk profile.

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Written & reviewed by the Ecompli founder — With over 20 years in financial services and having founded Ecompli in 2006, our compliance documents are written by a specialist with hands-on expertise in FCA regulation across the mortgage, general insurance, equity release, and insurance claims handling sectors. Every guide and template is personally developed to turn complex regulatory requirements into clear, practical tools your firm can actually use.

There are plenty of free templates and AI-generated documents available online. The challenge is knowing whether they genuinely reflect FCA requirements, align with Consumer Duty expectations and work in practice for your firm. Our documents are written by Ecompli’s founder and are designed specifically for regulated firms. Every manual, register and template is created to provide practical, usable guidance that supports implementation,  helping firms move beyond theory and into demonstrable compliance.