As an Appointed Representative:

• You operate under PPL’s FCA permissions
• We provide regulatory oversight and compliance monitoring
• We manage regulatory reporting to the FCA on your behalf
• You operate within an agreed scope of permissions

This model allows you to focus on your core business, while we ensure your compliance framework is supported and maintained.

We work closely with you to establish the systems and processes needed to support compliant operations.

Our ongoing support includes monitoring, audits, thematic reviews, ongoing bespoke oversight and deep dive reviews, helping ensure your business continues to meet FCA expectations.

Becoming an Appointed Representative may be suitable if your business:

• Wants to undertake regulated activities without seeking direct FCA authorisation
• Operates within a defined or narrower regulatory scope
• Prefers an outsourced compliance and oversight model

• A faster route to market compared to direct FCA authorisation
• Built-in regulatory oversight and risk management from experienced compliance professionals.
• FCA reporting or compliance monitoring managed on your behalf
• Reduced operational and regulatory complexity
• Clear definition of business scope and permissions 

If you are considering becoming an Appointed Representative, we will guide you through the process and assess whether this model is right for your business.

For firms with a clear structure and appropriate resources, we support a smooth onboarding process, enabling you to begin offering regulated activities efficiently.