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New Content Integration with Pacific Asset Management
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9 April 2025 / Suitability
New Content Integration with Pacific Asset Management

We have some exciting news on the latest upgrade to ATEB Suitability on 9 April 2025. This update comes at no additional cost and provides a new addition to our content integration library.     We have partnered with Pacific Asset Management to provide our customer firms with access to the following: A description of their service [...]

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What’s on the horizon for 2020?

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See what 2020 has in store.

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Approving Financial Promotions

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The FCA has issued a Dear CEO letter with further guidance regarding the approval of financial promotions.

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Research and due diligence… not the same thing

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Do your research and due diligence processes stack up in the face of PROD?

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SM&CR – sole traders and single directors

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Sole traders and Single Director firms might look similar but they are treated differently under SM&CR.

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Good news from 2019

Compliance

It wasn’t all doom and gloom.

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Pet hates of a file reviewer – part three

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Our file reviewers share their compliance turkeys.

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FCA Connect – New Requirement for firms from January 2020

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From January 2020, firms will be required to submit their mandatory annual update via Connect.

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FCA restriction on the promotion of mini-bonds

Compliance ,

A temporary restriction on the promotion of min-bonds is effective from January 2020, pending a wider consultation on permanent restrictions.

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Top 7 risk profiling issues

Compliance ,

It’s the time of year for lists so we have listed our top 7 risk profiling issues.

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Do you need discretionary permissions?

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Firms need discretionary permissions to outsource to a Discretionary Investment Manager.

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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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Asset Management Market Study

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Pet hates of a file reviewer

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MiFID II – Aggregated costs disclosure

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LEI update

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MiFID II – Clarification on independence

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MiFID II – Telephone recording update

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MiFID ll – Compliance Function Enhancements

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December 2017 Update

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GDPR – new data protection rules

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MiFID II – Suitability

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MiFID II – Independence article 2

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MiFID II – Independence article 1

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