Description

FAIS Advisory and Representative Bundle for FSPs

The FAIS Advisory and Representative Bundle is a downloadable template pack for Financial Services Providers that need practical policies, procedures and tools for managing representatives, advice processes, supervision, CPD, competence evidence, disclosures and execution-only sales.

This bundle helps FSPs strengthen representative governance from appointment to ongoing monitoring, including honesty and integrity checks, fit and proper controls, Section 13 authority, CPD tracking, statutory training, client advisory controls, complaints handling and remuneration oversight.

You may also view our Representative Appointment Compliance Pack, Client Advisory Policy Pack and CPD Policy and Procedures Template.

For official fit and proper information, visit the FSCA FAIS Fit and Proper resources page.