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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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The Financial Services Register and The Directory

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Want to know more about upcoming changes to the Register and the introduction of the public facing Directory?

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BREXIT and passporting

Compliance ,

Firms that wish to operate in the EU/EEA after BREXIT need to take action.

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Principals and Appointed Representatives – two tier client protection?

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A recent Court case appears to have created two tiers of client protection.

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Lasting Power of Attorney and DFM investment

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LPA may constrain the use of a DFM solution.

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FCA video guide to pension transfer advice for consumers

Compliance , ,

Although aimed at consumers, firms involved in transfer advice would do well to view the video.

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Fair treatment of vulnerable clients

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The FCA is consulting on proposed guidance to firms in dealing with vulnerable clients.

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FCA Policy Statement PS19/21 – Retirement Outcomes Review

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While this paper is mostly of relevance to Pension Providers, there are some implications for advisers.

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Live and Local Q&A events for mortgage intermediaries and lenders

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See here for dates and registration details.

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SM&CR – Conduct Rules

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The FCA has stated clearly that monitoring firms’ implementation of the Conduct Rules will be a key focus in future reviews of of SM&CR.

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Reasons for recommending a transfer or switch that are open to challenge

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CP19/25 highlighted some commonly used reasons to transfer/switch that often do not stand up to close scrutiny.

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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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EARLIER ON WE ALSO DISCUSSED...

Legal Entity Identifiers

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Compliance Officer Liabilities

Compliance

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Money Laundering Regulations 2017

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The Assessing Suitability Review

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FG17/4 – The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations

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FCA Publishes Its Response To Appropriate Qualifications Consultation

Compliance

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MiFID II applications and notifications

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Implementing the FAMR – consultation paper

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Important Changes to Capital Adequacy – A Reminder for Smaller Firms

Compliance ,

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ATEB Supervisor Training and Complementary Courses

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Merging Flexi-Access Drawdown Plans

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April 2017 Update

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2017/18 Tax Year Changes

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