Read our help text for RegData submission RMA-H COBS data.
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1. Do FCA-regulated activities form the core business of the firm? Answer 'yes' if the main business undertaken by your firm is FCA-regulated business.
2. If not, specify type of core business: If you have answered 'no' to question 1, state the main business undertaken by your firm (eg, motor dealer, estate agent etc).
Monitoring of Appointed Representatives (ARs)
An AR is an entity (sole trader, partnership or incorporated firm) that undertakes regulated activities under the Permission of an FCA-authorised firm. Please see the FAQs for a definition of AR.
3. Number of ARs registered with the firm? Enter the number of appointed representatives registered with your firm. This is the number of ARs registered with the firm as of the reporting period end date, not the total number of ARs registered during the whole period.
4. Of which, number of 'secondary' ARs. Enter the number of ARs registered with your firm, where regulated activities are not the main part of their business. Please see the FAQs for a definition.
5. Of which, number of introducer ARs. Enter the number of ARs registered with your firm as 'introducer appointed representative (IAR)'.
An IAR is an AR whose activities are limited to introducing insurance distribution business. Please see the FAQs for a definition of IAR.
6. Number of advisers within ARs. Enter the total number of staff within your ARs that give advice to customers (in relation to regulated activities).
Questions 7 to 11 should only be completed by firms with ARs
7. Does the firm have appropriate systems and procedures to ensure that the activities of its ARs are effectively monitored and controlled? Answer 'yes' if the firm has appropriate procedures in place to monitor its ARs. This is an FCA requirement, and all firms should be able to demonstrate that they have appropriate monitoring arrangements in place.
8. Number of ARs that have been subject to monitoring visits by the firm during the reporting period. Enter the number of ARs that have been subject to a visit from your firm during the reporting period.
9. Number of ARs that have been subject to file reviews by the firm during the reporting period. Enter the number of ARs that have been subject to file reviews from your firm during the reporting period.
10. Number of ARs that have been subject to financial checks by the firm during the reporting period. Enter the number of ARs that have been subject to financial checks from your firm during the reporting period.
11. Has any other monitoring of ARs by the firm taken place? If your firm uses other methods to monitor its ARs, answer 'yes' to this question