AR oversight: what to check between annual reviews
A practical way to keep track of changes, follow up issues and keep the evidence ready for the next review.
Appointed RepresentativesMonitoringPrincipal Oversight
Notes on AR oversight
Practical guides to AR oversight, monitoring and FCA evidence.
How Merrin helps with AR oversight
How onboarding, monitoring, reviews and FCA filings fit together, and where your team makes the decisions.
SUP 12ProductAppointed RepresentativesPrincipal Oversight
SUP 12: what a principal needs to keep track of
A practical look at due diligence, ongoing oversight, annual reviews and the records behind them.
SUP 12Appointed RepresentativesPrincipal OversightFCA
The FCA’s 2024 AR review: lessons for principals
What the FCA found when it looked at principal oversight, with practical steps for improving your reviews and records.
FCAAppointed RepresentativesPrincipal OversightConsumer Duty
Financial promotions: changes to the FCA rules
A practical walk through the FCA's overhauled financial promotion rules: Consumer Duty, high-risk investments, crypto and the section 21 gateway.
FCAFinancial PromotionsConsumer DutyCompliance
When to use a compliance consultant
Where specialist advice helps, which routine jobs software can support, and how to decide what your team needs.
ComplianceRegTechConsulting