ATEB Compliance is now Thistle Initiatives
Our new website is: www.thistleinitiatives.co.uk and you can keep up to date with all of our usual regulatory and company
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Huw Reynolds
Consumer Duty: It’s a matter of Principle
Apologies for the Consumer Duty overload but unless you’re taking a regulatory sabbatical, this is very much a hot topic.
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Consumer Duty is Dead, long live Consumer Duty
Déjà vu? Did you watch the FCA Consumer Duty (CD) webinars? Somewhat belated perhaps and certainly no Oscar nominations arising,
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Online Supervisor’s Training Course
We have developed an online training course to assist T&C supervisors demonstrate competence in their role.
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Upgraded ATEB Member’s Area
We are delighted to announce that our new and upgraded Member’s Area will be available on Monday 9th May.
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Conduct Rules Breaches – follow up
We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended
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Notifying breaches of the Conduct Rules
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now
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EU recognises UK data protection laws
Following on from a draft decision in February, the European Commission has now granted the UK access to EU data.
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Papers galore!
It has been a busy month for papers and publications at the FCA. These include: New
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PS 21/4 – Extension of Annual Financial Crime Reporting
The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to
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