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.
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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.
FCA guidance for pension providers and DB transfer advisers.
In light of the continuing and increasing concerns over the COVID-19 virus and its impact on the economy and consequently on investors, we recommend that adviser firms should give serious and early consideration to how they will address the various issues arising. ATEB recommends that firms should have a documented policy* in relation to both the virus/health […]
Dealing with clients remotely means that obtaining a wet signature can be problematic.
The FCA’s expectations in relation to COVID-19.
Working from Home – Data Protection and Security
Alistair MacDougall Compliance COVID-19, Update
Many people are currently working from home. What are the implications for data security?