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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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Register for Connect

Compliance , ,

The FCA is encouraging firms to ensure they are registered on Connect.

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FCA position on phoenixing

Compliance , ,

The FCA has stated its position on phoenixing type practices.

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Do you have authority to use a DFM?

Compliance

There is an ever increasing use of DFM solutions for client portfolios but many firms might not have authority to refer clients to a DFM.

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SM&CR – FCA latest

Compliance , , ,

The FCA has issued some further gudance for firms.

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SM&CR – Conduct Rules reminder

Compliance , , ,

Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.

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Shareholder Rights Directive II

Compliance , , ,

Do you provide a discretionary management service investing in shares on a regulated market?

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Cyber resilience

Compliance , ,

Could your business repel and recover from a cyber attack?

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FCA ‘Improving the suitability of financial advice’ speech

Compliance , , ,

The FCA has published the transcript of a speech delivered by Debbie Gupta of the FCA which we recommend all advisory firms read.

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SM&CR – latest FCA podcasts

Compliance , ,

SM&CR is well on the way. Hear the latest podcasts.

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Mortgage Responsible Lending Update

Compliance , , , ,

The FCA has published the first summary of the discussions from the responsible lending implementation group. 

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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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Recording telephone conversations

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