Demystifying the Appointed Representative, Directly Authorised and RI routes for advisers and regulated firms

Tuesday, 13 February 2024
12:00 pm – 1:00 pm (UK time)
    • Paul Day, Founder and Director, Network Consulting Services
    • Annabel Gray, Compliance Consultant, Sentinel Compliance Consultants

The start of the year can for many people be the catalyst for a change in their career – is this you?

Making informed decisions, based on accurate information, is crucial to your career, your business and your clients. Being in the right place for you will enable you to thrive. There are many options available, and unfortunately there is also a lot of misinformation.

This webinar will explain and more importantly demystify these options for you, giving you accurate and informative information for you to make possibly the most important decision at this point in your career.

Direct Authorisation is often seen as the panacea, but what is the reality. We hear many advisers say they want to go directly authorised, but we know given this point in their career it really isn’t a reality.

Becoming an Appointed Representative is also an option, but principal firms can have widely differing entry requirements, fees, and the bits they don’t tell you unless you ask. Then there is the most confused, being a Registered Individual.

Our aim is to equip you with all options, the advantages and disadvantages of each and how certainly the AR route can work well for career progression and can form part of a strategic career and business plan. We will also give you some top tips and a few questions you should be asking.

This is your career, your business and your future, just as you want your clients to be fully informed, we want you to be to, to make such an important career decision.

Learning Objectives

  • By the end of this webinar, you will:
  • Know what it means to be DA an AR or an RI, and the advantages and disadvantages of each.
  • Understand the compliance aspect and responsibilities of each option.
  • Know what a network is and a national firm.
  • Be able to make informed decisions regarding each option.
  • Have some top tips to help navigate your choices.

Join us to hear from Paul and Annabel with plenty of time for any questions at the end of the presentation.

Register now


CII Accredited

This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.

1 hour's CPD can be claimed for this event if relevant to your learning and development needs.

It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at