ATEB News – The ATEB Group News Hub

New Content Integration with Pacific Asset Management

ESG investing

Alistair MacDougall Compliance 2018, 2019, FCA, MiFID, Pension, PI

The profile of ESG investments has increased significantly in recent months. Firms need to be consider how those fit into their investment and advice processes.

19 February 2020

Money Advice Service Printed Guides

Alistair MacDougall Compliance complaints, Mortgage, Pension, PI

Free client guides are available from the Money Advice Service.

14 February 2020

Dear CEO – 2020

Alistair MacDougall Compliance 2019, 2020, FCA, MiFID, Pension, Pension Transfer, PI, SM&CR

The FCA has been busy writing letters in 2020, and it’s still only February.

12 February 2020

IR35 update

Alistair MacDougall Compliance 2020, Update

The IR35 regime is due to be extended in April 2020 but is ‘under review’.

12 February 2020

Mortgage advice and selling standards (Policy Statement 20/1)

Alistair MacDougall Compliance 2020, FCA, Mortgage, PI, Update

New rules around mortgage advice apply from 31 January 2020.

12 February 2020

Non-financial misconduct

Alistair MacDougall Compliance FCA, PI, SM&CR

The FCA has issued a Dear CEO letter to wholesale general insurance firms concerning non-financial misconduct. This has potential implications for all firms.

15 January 2020

Invisible advisers

Alistair MacDougall Compliance 2019, 2020, FCA, Pension, Pension Transfer, SM&CR, Update

Advisers no longer appear on the FS Register. What are the implications?

15 January 2020

Pension switches (and other replacement business)

Alistair MacDougall Compliance 2019, complaints, FCA, FOS, Pension, platform, Switch

Is your pension switch advice suitable?

10 January 2020

5MLD – the Trust Registration Service scope widens

Alistair MacDougall Compliance 2017, 2020, ML, PI

The scope of the TRS has widened under 5MLD.

10 January 2020

Fifth Money Laundering Directive (5MLD)

Alistair MacDougall Compliance 2018, 2019, 2020, FCA, ML, PI, Update

Changes are effective from 10 January 2020. Make sure you are implementing the rules as required.

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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23 May 2018