ATEB News – The ATEB Group News Hub

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Consideration of life cover options when advising on transfers

Alistair MacDougall Compliance COVID-19, FCA, Pension, PI, Update

Transfers and death benefits: considering life cover as more than lip service.

17 June 2020

Adviser only platforms

Alistair MacDougall Compliance 2020, FOS, Pension, PI, Switch, TCF

Is it risky to recommend a client invests via an adviser only platform?

17 June 2020

ESG investing – new rules coming along soon

Alistair MacDougall Compliance 2017, COVID-19, FCA, MiFID, Pension, PI

New rules around ESG investing are expected in 2021. Firms should start preparations sooner than later.

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11 June 2020

FCA framework for firms on assessing adequate financial resources

Alistair MacDougall Compliance FCA

The FCA has published finalised guidance on its framework to help financial services firms ensure they have adequate financial resources and take effective steps to minimise harm to consumers and to markets.

11 June 2020

FCA framework for firms on assessing adequate financial resources

Alistair MacDougall Compliance FCA

The FCA has published final guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm.

11 June 2020

Policy Statement PS 20/06

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

This paper announced a number of significant changes to the rules around transfer advice.

10 June 2020

Recording calls and meetings

Alistair MacDougall Compliance 2018, 2019, Call Recording, COVID-19, Data Protection Act, FCA, GDPR, MiFID, PI

We wrote in our last Newsletter about call recording and the FCA’s view on any issues that might arise during the COVID-19 emergency. You can link to our previous articles on call recording here. Now, as mentioned, Article 3 MiFID Exempt Firms have the option to create written file notes instead of recording calls and we […]

10 June 2020

FCA DB Transfer ‘Advice Checker’

Alistair MacDougall Compliance FCA, Pension, Pension Transfer, PI

The FCA has published guidance for consumers wanting to check if the advice they received to transfer out of a defined benefit pension scheme might have been unsuitable.

10 June 2020

FCA – Coronavirus Financial Resilience Survey

Alistair MacDougall Compliance 2020, COVID-19, FCA

The FCA is writing to around 13,000 firms with a short survey.

10 June 2020

Recording calls and meetings

Alistair MacDougall Compliance 2018, 2019, Call Recording, COVID-19, Data Protection Act, FCA, GDPR, MiFID, PI

How is client audio considered for the purposes of data protection?

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...

30 July 2019