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FCA Appointed Representatives training

Five microlessons on your obligations as an FCA appointed representative: working within scope, the Consumer Duty, reporting to your principal and handling change, with situational tests and a certificate of completion.

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FCA Appointed Representatives Responsibilities (UK) course preview
5Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 5Microlessons
  • IncludedCertificate of completion
About this course

What the FCA Appointed Representatives course covers

This course covers the obligations of an FCA appointed representative (AR) in five microlessons. It explains working within your scope, delivering good outcomes under the Consumer Duty, reporting breaches promptly, cooperating with your principal's oversight, managing business change and complaints, and what happens when an AR relationship ends.

Learning outcomes

What your people will be able to do

  • Explain appointed representative status, your obligations and the consequences of non-compliance
  • Work strictly within your documented scope and get scope changes confirmed in writing
  • Apply the Consumer Duty and treat customers fairly, including vulnerable customers
  • Report breaches, escalate issues and give your principal accurate data and records
  • Manage complaints, remediation and regulatory contact, including customer redress
  • Plan an orderly wind-down and meet post-termination obligations
Course contents

5 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1Your Role as an Appointed Representative
2Operating Within Your Scope and Understanding Your Limits
3Consumer Duty and Your Direct Responsibility to Customers
4Your Obligations to Report, Escalate, and Cooperate
5Managing Change, Handling Problems, and What Happens If Your AR Relationship Ends

  1. Your Role as an Appointed Representative: What appointed representative status means and the obligations that come with it.
  2. Operating Within Your Scope and Understanding Your Limits: Staying inside your documented scope and getting changes confirmed in writing.
  3. Consumer Duty and Your Direct Responsibility to Customers: Delivering good outcomes and spotting vulnerable customers.
  4. Your Obligations to Report, Escalate, and Cooperate: Reporting breaches and giving your principal accurate data and records.
  5. Managing Change, Handling Problems, and What Happens If Your AR Relationship Ends: Complaints, business change and an orderly wind-down if the relationship ends.
A 5Mins certificate of completion for FCA Appointed Representatives Responsibilities (UK), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and complete the assessments. 5Mins then issues a certificate of completion for FCA Appointed Representatives Responsibilities (UK).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Appointed representatives and their advisers
  • Staff at AR firms who deal with customers
  • Principal firms that train and oversee their ARs

Laws covered

  • FCA rules for appointed representatives (SUP 12). Set out how ARs operate under a principal firm, and the principal's responsibility for them.
  • FCA Consumer Duty (PRIN 2A). ARs must deliver good outcomes for retail customers.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
Read the ICAB story
ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
See more customer stories
ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
Read the nsave story
★ Free sample lesson

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Interested in FCA Appointed Representatives training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

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Free course catalogues

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Free PDF catalogues to share with your compliance lead, your managers or your board.

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Global Financial Compliance Catalogue

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Global Compliance Catalogue

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Your questions answered

Questions about FCA Appointed Representatives training

How long is the FCA Appointed Representatives course?

It's made up of 5 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and complete both situational tests. The record is stored in 5Mins for audits.

What is an appointed representative?

A firm or person that carries on regulated activities under the responsibility of an FCA-authorized principal firm, rather than being authorized itself.

Who should take this course?

Appointed representatives and their customer-facing staff. Principal firms can assign it to every AR to support their oversight.

Can a principal firm assign this course to all its ARs?

Yes. Add your ARs to 5Mins, assign the course automatically and track completion for each one in the Compliance Dashboard.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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