Some readers might remember that the FCA issued a guidance consultation paper in July 2019, GC19/3 – Guidance for firms on the fair treatment of vulnerable customers. The consultation closed in October and final guidance was expected to be published early 2020. That has now been deferred, with no timescale indicated for its publication. Another casualty […]
A reminder that ARs should be included as Directory Persons.
The FCA has published its Business Plan for 2020/21.
Many people are currently working from home. What are the implications for data security?
FCA guidance for pension providers and DB transfer advisers.
In light of the continuing and increasing concerns over the COVID-19 virus and its impact on the economy and consequently on investors, we recommend that adviser firms should give serious and early consideration to how they will address the various issues arising. ATEB recommends that firms should have a documented policy* in relation to both the virus/health […]
Dealing with clients remotely means that obtaining a wet signature can be problematic.
The FCA’s expectations in relation to COVID-19.
The one with Providers, Investments & Custom Appendices
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.
FOS limit changes
Alistair MacDougall Compliance 2019, 2020, complaints, FCA, FOS, PI
On 1 April 2019, the FCA increased the Financial Ombudsman Service’s award limit from £150,000 to £350,000. This applies to complaints referred to the Ombudsman service on or after 1 April 2019 about firms’ acts or omission on or after that date. The limit for complaints referred to the service on or after 1 April […]