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This form is used to notify the Financial Services Authority (FSA) of the termination of an existing appointed representative arrangement.
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How to fill out Appointed Representative - Termination
01
Obtain the Appointed Representative - Termination form.
02
Fill in the date of termination at the top of the form.
03
Provide the name and address of the Appointed Representative in the designated fields.
04
Include the reason for termination in the appropriate section.
05
Sign and date the form to acknowledge the termination.
06
Submit the completed form to the relevant regulatory authority or clients.
Who needs Appointed Representative - Termination?
01
Businesses that wish to terminate their relationship with an appointed representative.
02
Agents or representatives who need to formally end their appointment.
03
Financial organizations needing to notify authorities about the termination of a representative.
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People Also Ask about
What are the benefits of being an appointed representative?
Benefits of being an Appointed Representative No capital adequacy requirement. No annual audit needed. No SMF 16 or 17 requirement. Provision of ongoing compliance and CPD training.
What is the meaning of appointed representative?
An appointed representative (AR) carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. The principal is responsible for making sure the AR is fit and proper and complies with our rules.
What is the meaning of authorized representative?
An Authorized Representative is an individual with legal authority to bind the government entity (e.g., the Chief Executive Officer of the government entity). An Authorized Representative must sign the Acceptance of Award terms for it to be valid. Treasury FAQ 11.7.
What is an appointed representative?
An appointed representative is a firm that undertakes regulated activities and acts as an agent for a firm directly authorised by the FCA.
Who is responsible for an appointed representative firm's compliance?
An appointed representative (AR) carries on regulated activity under the responsibility of an authorised firm, known as 'the principal'. The principal is responsible for making sure the AR is fit and proper and complies with our rules. This page helps principal firms understand our expectations.
How to become an appointed representative?
Becoming An Appointed Representative Firm To become an ARF you must first decide which activities you intend to undertake. These regulated activities can then be matched up with a Principal Firm such as Sturgeon Ventures. If you have many aspects to your business, you may have more than one Principal Firm.
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What is Appointed Representative - Termination?
Appointed Representative - Termination refers to the official process of ending the appointment of a representative authorized to act on behalf of an individual or organization in specific matters.
Who is required to file Appointed Representative - Termination?
The individual or organization that initially appointed the representative is required to file the Appointed Representative - Termination.
How to fill out Appointed Representative - Termination?
To fill out the Appointed Representative - Termination, you need to provide details such as the names of the parties involved, the date of termination, and any relevant identification numbers, along with a signature.
What is the purpose of Appointed Representative - Termination?
The purpose of Appointed Representative - Termination is to formally notify the relevant authorities and parties that the representative's appointment has been revoked and is no longer valid.
What information must be reported on Appointed Representative - Termination?
The information that must be reported includes the name of the representative, the name of the person or entity terminating the appointment, the effective date of termination, and any relevant identifying details.
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