Stepping Stones Wealth Management Ltd
SSWM Ltd, Unit 32
Enterprise Centre;Bryn Road;Aberkenfig
Bridgend
Pen-y-bont ar Ogwr
CF32 9BS
An Appointed Representative (AR) is a firm or person who runs regulated activities and acts as an agent for a firm we directly authorise. This firm is known as the ARs 'principal'.
There must be a written contract between the principal and the AR documenting the arrangement
The principal takes full responsibility for ensuring that the AR complies with FCA rules.
Principal firms make sufficient checks on the firm or individual to ensure they are financially stable and competent.