Read about the data principal firms must report to us about their appointed representatives (ARs).
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Why we collect AR data
Our rules[1] require principal firms to send us regular data about their ARs. Effective use of data is key to our strategy, and we use it to inform where we target our efforts so we focus on the highest risk principals, ARs and Introducer Appointed Representatives (IARs).
What information you need to send us
- AR complaints and revenue: you must report this data once a year in RegData using the REP025 form within 60 business days of your Accounting Reference Date (ARD). See our FAQs for help completing REP025[2].
- Firm Details Attestation: you must check, amend and confirm[3] your details annually using Connect. From December 2023, you will also need to confirm details for your ARs and IARs, within 60 business days of your ARD. This includes where ARs have more than one principal or where their details have been recently updated or remain unchanged from the previous year. To notify us, log in to Connect[4] and select 'start new application', then 'update or attest to your firm details'. The new ‘Appointed Representative Details’ section will appear within the Firm Details Application form. You can attest to the details of all your ARs together by ticking one checkbox.
- New ARs: You must tell us if you recruit a new AR[5], at least 30 calendar days before the appointment starts. You must also tell us if your AR’s activities change at least 10 days before they take effect.
We may also contact you for ad hoc data requests, for example under S165 rules[6], as part of our supervisory work.
More help and information
Contact us[7] if you have a question about submitting data or need technical help.
: Information added information on REP025