ATEB News – The ATEB Group News Hub

New Content Integration with Pacific Asset Management

Evolution of the FCA’s view of suitability

Alistair MacDougall Compliance FCA, Pension, Pension Transfer

How the FCA’s assessments of suitability have developed.

29 July 2020

PS20/06 – part five: and finally!

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

In this final article of the series, we cover the remaining items from PS20/06.

22 July 2020

Policy Statement PS 20/06

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

On 5 June, the FCA published the long awaited policy statement following its consultation from 2019, CP 19/25. The policy statement was accompanied by a substantial Guidance Consultation covering the FCA’s proposals for guidance on how firms should implement the new rules. Consultation feedback is required by 4 September 2020.

22 July 2020

PS20/06 – part four: Just one more thing?

Alistair MacDougall Compliance 2018, 2020, FCA, Pension, Pension Transfer, PI

This policy statement covers far more than the ban on contingent charging for transfer advice.

22 July 2020

Outsourcing to cloud and other IT service providers

Alistair MacDougall Compliance 2016, 2018, 2019, 2020, Data Protection Act, FCA, GDPR, Pension, PI, Update

Existing FCA guidance continues to apply rather than new EU guidelines.

22 July 2020

Complaints considered by a court

Alistair MacDougall Compliance 2019, 2020, complaints, FOS, PI

Can the FOS consider complaints after they have been through the legal system?

15 July 2020

Updated FS Register

Alistair MacDougall Compliance 2020, FCA, Update

The FCA will be replacing its existing Financial Services Register with an enhanced Financial Services Register on 27 July.

15 July 2020

Complaints return – a reminder

Alistair MacDougall Compliance complaints, FCA, FOS, Gabriel

A brief reminder for firms about the FCA’s RIA complaint notification requirements.

15 July 2020

PS20/06 – part three: Workplace pensions

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

This article looks at the requirement to consider the client’s workplace pension as a target for any pension transfer.

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13 July 2020

New Content Integrations from Leading Third-Parties and much more

David Anderson Suitability 2020, CleverMPS, Dynamic Planner, Evalue, FCA, ML, Pension, Pension Transfer, PI, Switch, Update

New Content Integrations from Leading Third-Parties and Much More

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.

EARLIER ON WE ALSO DISCUSSED...

25 October 2019