ATEB News – The ATEB Group News Hub

New Content Integration with Pacific Asset Management

RegData migration reminder

Alistair MacDougall Compliance FCA, Gabriel

The migraton of firms from Gabriel to RegData continues.

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16 December 2020

FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers

Alistair MacDougall Compliance 2020, FCA, PI

New rules for firms in relation to NMPIs, SISs or mini bonds.

9 December 2020

FCA Systems Outage

Alistair MacDougall Compliance 2020, FCA, PI, Update

Dates to note.

9 December 2020

Is your website compliant?

Alistair MacDougall Compliance 2018, Data Protection Act, FCA, FOS, Mortgage, PI

Most adviser websites are financial promotions. Is yours compliant?

2 December 2020

FCA reminder of SMCR Implementation

Alistair MacDougall Compliance FCA, SM&CR

Firms are reminded of the requirements and deadlines for implementing the SM&CR.

2 December 2020

Pension transfers – scheme information

Alistair MacDougall Compliance 2015, 2019, 2020, FCA, Pension, Pension Transfer, PI

Scheme data templates are available to make the process of obtaining scheme and member information more efficient.

30 November 2020

Upgraded Costs and Charges Statement Template & Much More

David Anderson Suitability 2020, Dynamic Planner, Mortgage, Update, Xplan

Upgraded Costs and Charges Statement & Much More

25 November 2020

Portfolio letter to Mortgage Intermediaries

Alistair MacDougall Compliance 2016, FCA, Mortgage, PI

The FCA has written to mortgage intermediaries setting out its expectations for mitigating identified risks to customers.

25 November 2020

Claims Management Portfolio Letter

Alistair MacDougall Compliance 2014, 2018, 2019, 2020, FCA, Update

FCA expectations of all firms involved in claims management, including advisers wanting to help their own clients to pursue a complaint.

18 November 2020

EU withdrawal – end of transition

Alistair MacDougall Compliance 2018, COVID-19, Data Protection Act, FCA, GDPR, MiFID, Update

Only a few weeks to go. Are you ready?

ATEB Compliance is now Thistle Initiatives

Our new website is www.thistleinitiatives.co.uk. There will be no further posts here from ATEB Compliance. You can keep up to date with all of our usual regulatory and company updates here going forward.

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6 May 2020