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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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Fund suspension

Compliance , ,

Following the recent Woodford fund suspension, we consider the regulatory requirements.

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FCA focus for 2019/20

Compliance , , , ,

The FCA has given a clear idea of where it will focus attention in the coming year.

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Is your email footer compliant?

Compliance

Many are not …

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Thematic Review – GI Distribution

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The FCA warns GI firms to place greater focus on customer outcomes.

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Principals and Appointed Representatives – action needed

Compliance , ,

Following recent FCA investigations that resulted in a Dear CEO letter, firms that have Appointed Representatives need to review the adequacy their governance and supervision.

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Supervisor training 2019

Compliance ,

Details of next scheduled event.

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Pension Transfers – the ‘Why now?’ question

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So, it’s right for the client to transfer … but should the transfer be done NOW?

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Dealing with Powers of Attorney

Compliance

The Office of the Public Guardian has produced a helpful guide for firms in how to deal with customers where a power of attorney is in place.

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FCA live events

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These could be of interest.

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FCA Business Plan 2019-20

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The FCA has announced its priorities for action over the coming months.

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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...

September 2016 Update

Suitability ,

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PS16/21 – Increasing transparency and engagement at renewal in general insurance markets

Compliance , ,

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Unauthorised introducers

Compliance , , , , , ,

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CP16/18 – PRIIPs and the new rules on disclosure

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FG 16/5 Outsourcing to the cloud and other third party IT services

Compliance

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July 2016 Update

Suitability , , ,

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Changes to Complaints Handling Rules Effective 30/06/2016

Compliance , , , ,

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Is a platform the right answer?

Compliance , ,

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FCA survey of firms providing financial advice

Compliance , , ,

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Suitability – still the FCA’s hot topic

Compliance , ,

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FCA Positive Compliance – Mortgage Session

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FCA Positive Compliance – Investments

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Important Changes to Capital Adequacy – A Reminder

Compliance , ,

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