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SUP 16.9 Appointed representatives annual report



SUP 16.9.2GRP

1The purpose of the rules and guidance in this section is to ensure that, in addition to the notifications made under SUP 12.7 (Appointed representatives; notification requirements), the FSA receives regular and comprehensive information about the appointed representatives engaged by a firm, so that the FSA is in a better position to pursue the regulatory objective of the protection of consumers.3

SUP 16.9.3RRP
  1. (1)

    1A firm must:

    1. (a)

      submit a report to the FSA annually, in the form of an amended copy of the relevant extract from the FSA Register, containing the information in (2);3

    2. (b)

      submit the report in (1) to the FSA within four months of the firm'saccounting reference date.6

  2. (2)

    The report in (1) must contain a list of all the current appointed representatives of the firm as at the firm'saccounting reference date.

  3. (3)

    The report in (1) is not required if:

    1. (a)

      the firm has no appointed representatives as at the firm's accounting reference date; and

    2. (b)

      this is reflected in the relevant extract from the FSA Register.

SUP 16.9.4GRP

1The FSA Register is maintained under section 347 of the Act (The record of authorised persons, etc.) and may be viewed at the FSA's website at

SUP 16.9.5G


SUP 16.9.6GRP

1If a group includes more than one firm, a single annual appointed representatives report may be submitted on behalf of all firms in the group. Such a report should contain the information required from all the firms, meet all relevant due dates, indicate all the firms on whose behalf it is submitted and give their FSA6 firm reference numbers. The requirement to provide a report, and the responsibility for the report remains with each firm in the group. 2