Principal Firm

At ES Risks, we act as an FCA-authorised principal firm, providing a compliant framework for businesses to operate as Appointed Representatives (ARs). This allows our partners to focus on building and running their businesses with confidence, while we take responsibility for regulatory oversight and governance. By choosing ES Risks as your principal, you gain the assurance of robust compliance, practical support, and the freedom to grow under a trusted regulatory umbrella.

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Working with us an Appointed Representative

Comprehensive Regulatory Oversight

We take responsibility for the regulatory obligations of our Appointed Representatives, ensuring they operate within the FCA’s framework at all times. From onboarding and due diligence to ongoing monitoring, we provide the governance needed to safeguard both our ARs and their clients. This means you can concentrate on growing your business, knowing your compliance requirements are being fully managed.

Tailored Support and Guidance

Beyond compliance, we provide practical guidance and day-to-day support to help you succeed. Our team offers expertise on regulatory matters, business processes, and market best practice, giving you the resources to operate efficiently and effectively. With ES Risks, you are not just regulated—you are supported every step of the way.

Efficient Market Access

Operating under our principal status opens up access to markets and opportunities that might otherwise be difficult to secure. We work closely with our ARs to ensure they can focus on delivering value to their clients while benefiting from our established relationships, infrastructure, and reputation. This makes it easier to win new business and strengthen existing relationships.

A Trusted Parnership

We see our ARs as long-term partners, not just regulated entities. By fostering an environment of trust, transparency, and collaboration, we help you build a sustainable and profitable business. Choosing ES Risks as your principal means more than meeting compliance requirements—it means aligning with a firm that values your success as much as you do.

Our Team.

Our Appointed Representatives team is dedicated to supporting regulated businesses that choose to partner with ES Risks. By combining regulatory expertise with a collaborative, hands-on approach, the team ensures our ARs have the guidance, oversight, and freedom they need to grow. At ES Risks, we see every AR relationship as a partnership, built on trust, transparency, and a shared commitment to success.

Chris Hobbs

CEO

Paul Tasker

COO

David Seddon

Head of Compliance

Luke D'Allessandro

Compliance Manager

Email Principal Services Team