New Business Register
The FCA expects firms to have sufficient records detailing its customers/clients services and products.
- New business registers are automatically generated at pre-determined dates with notifications for completion and checking through to sign off.
- The appointed representative firm enters or uploads via CSV file all new client activity within the given time frames specified with the new business register allowing a central record of all firms activities.
Identification of the AR firms service, products and customer base.
Comparison and analysis of the AR firms regulated activity and regulatory income.
Clear and concise reporting of the principals supervision and oversight