- Strategic Planning and Setting up a Network
- Recruiting and Selecting ARs
- Introducer Appointed Representatives
- Monitoring Compliance across a Network
- Auditing ARs
- AR Agreements & other essential documentation
- Network Training & Development for Principles and Advisors
- Compliance Monitoring
- RMAR for a Network. I-FACT has set up a number of networks for IFAs and Mortgage Brokers, none of which have been criticised by any regulator.
Two other networks that had to undertake remedial action following a regulatory intervention turned to I-FACT and in both cases the firms were turned round from facing suspension to routine monitoring and no disciplinary action.
Appointed Representatives can be a very profitable exercise if the regulatory risk is controlled by creative compliance solutions.