ATEB News – The ATEB Group News Hub

New Content Integration with Pacific Asset Management

Operational resilience and preparing for BREXIT

BREXIT, cyber attacks, IT failures, market events – firms need to be able to weather all these events … and other problems that will inevitably arise. Are you resilient?

25 September 2018

Transfer triage

Alistair MacDougall Compliance 2018, complaints, FCA, Pension, Pension Transfer, PI

Firms that advise on defined benefit transfers need to ensure that their triage process does not inadvertently cross the line into a personal recommendation.

25 September 2018

Are you independent?

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

The definition of independence changed with MiFIDII on 3 January 2018. Many firms have not changed their disclosure to reflect the new definition.

21 September 2018

September 2018 Update

David Anderson Suitability 2018, FCA, Pension, Pension Transfer, Update

New Inheritance Tax (IHT)/Trust Planning Advice & APTA/TVC Options

12 September 2018

New transfer advice rules – 1 October 2018

Alistair MacDougall Compliance 2018, 2019, FCA, Pension, Pension Transfer, Update

New rules around transfer advice apply from 1 October 2018. Make sure you are aware and ready for them.

12 September 2018

Final phase of the FCA’s transfer review starts

Alistair MacDougall Compliance 2015, 2016, 2017, 2018, FCA, Pension, Pension Transfer, PI

If you are involved in advising on DB transfers, this will be of interest.

16 August 2018

Outsourcing to the ‘cloud’

Alistair MacDougall Compliance FCA, GDPR, PI, Update

The FCA has issued updated guidance for firms in relation to the use of outsourced IT services.

16 August 2018

Rules and constraints on using FCA logo or FCA authorisation in a promotional way

Alistair MacDougall Compliance 2017, FCA

Firms are reminded that they must not use the FCA logo or authorisation in a promotional way.

16 August 2018

The Insurance Distribution Directive is almost here

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

The Insurance Distribution Directive (IDD) will impact all IFA and Insurance Intermediaries.

11 July 2018

The FCA has moved!

Alistair MacDougall Compliance 2018, FCA

Make sure you update your documents.

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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31 January 2015