The FCA has published an alert to all Principals, regardless of sector, who have one or more Appointed Representatives or Introducer Appointed Representatives (‘ARs’). Principals are responsible for the regulated activities of their ARs. The alert sets out the risks that the FCA expects firms to consider and act upon, where relevant.
Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.
ATEB Compliance offers compliance and regulatory advice.
ATEB Suitability provides report writing software for the financial services market.
This is a follow up to previous alerts about the risks involved in dealing with Introcuders. All Principal and Appointed Representative firms should read it.
For information.
Is your suitability report process ready for the new transfer rules? ATEB Suitability is!
Register your interest in taking part in a series of Pension Transfer Seminars.
New rules apply to transfer advice from 1 OCtober 2020. Are you ready?
ATEB is running a series of webinars covering the significant changes to the rules around pension transfer advice that apply from 1 October 2020.
New Abridged Advice Report Template & PS20/06 Rules for DB Transfer
David Anderson Suitability 2020, FCA, Pension, Pension Transfer, Update, Xplan
DB Transfer PS20/06 Update & New Abridged Advice Template