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Trace · Compliance Assistant
Get the rule, not the runaround.

Ask the rulebook.Get the rule, not the runaround.

Trace answers regulatory, ombudsman and tax-authority questions in plain English — with rule-level citations, direct links to the rule and a complete, time-stamped conversation log.

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4.1s
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answers cited
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Questions answered · last 30 days

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Do appointed representatives need their own complaints procedure?
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Under Complaints handling · principal-AR rule, the principal firm is responsible for complaints arising from regulated activities of its appointed rep. A separate AR procedure is not required, but the AR must follow the principal's procedure.
Complaints handling · principal-AR ruleAppointed-rep oversight
Top citations

Most-referenced rulebooks

  • Suitability — suitability412
  • Governance — governance298
  • Client money — client money217
  • Consumer Duty — Consumer Duty199
  • Complaints handling — complaints164
Quality

Citation rate · 12 weeks

Rulebook + ombudsman + tax
Trace draws from current rulebooks, ombudsman decisions and tax-authority manuals — never marketing copy.
Citations, not vibes
Every answer is anchored to a numbered rule or guidance reference with a deep link.
Full audit trail
Time-stamped conversations, reviewer ratings and exportable transcripts for assurance teams.

Ask anything. Cite everything.

From a quick rule lookup to a thorny replacement-business question, Trace gives the answer and the source — every time.

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