Leo for Principal Firms

Leo assists Principal Firms with robust oversight and monitoring tools of their Appointed Representatives (AR).

This solution is used by the Compliance Officer and Team at the Principal Firm, as well as the Senior Managers of the AR. Each AR is provided with its own dedicated environment to allow the Principal firm to meet its regulatory requirements by obtaining relevant information from their ARs.

You can utilise Leo’s Template Editor to create your own content or use Leo’s off-the-shelf templates and modules.

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What's Included

  • Compliance Oversight
  • Client Due Diligence
  • Financial Promotion
  • SM&CR
  • MLRO
  • Management Oversight
  • Vendor Due Diligence
  • Template Editor
  • Attestations
  • Registers
  • GDPR
  • Approved Persons
  • Initial Onboarding
  • PA Dealings
  • Product Governance


  • Robust systems and controls.
  • White labelled with your logo and customised system emails.
  • Automatic reminders sent to users.
  • All-in-one solution to manage your compliance by providing infrastructure for the oversight of your ARs.