• Doing business with the FSA
  • Being regulated
    • Approved persons and appointed representatives
      • Appointed representatives and tied agents
        • Frequently asked questions

Related information

MiFID practical guide

MiFID Permissions and Notifications guide [PDF]

The definition of an appointed representative is set out in s39 of The Financial Services and Markets Act 2000 (FSMA) and is contained in the Glossary to the FSA Handbook.

A person who is an appointed representative is exempt from authorisation. Other exemptions include:

• a professional firm (ie a firm of solicitors, accountants or actuaries) carrying on certain regulated activities that are incidental to its main business; or

• a Local Authority or certain kind of housing body carrying on insurance mediation or mortgage activities.

Further information

Please view further information that may assist you.

• Notification requirements

• Frequently asked questions