Menu
Capital Adequacy and CCL ‘A’

The FSA requested in their email of 06th December 2012 that the professional standards data collection return for each firm had to be submitted by the 29th January and subsequently within 20 working days from the end of each quarter if there had been a change at the firm.

If there has been a change at your firm i.e. unqualified staff now qualified or a change in personnel then please ensure that the spreadsheet is completed and returned in time.

If you are unsure or have any queries please ask your ATEB consultant.

Don’t forget to check Our View about this article and the Actions Required By You

Capital Adequacy and CCL ‘A’

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.

SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Furnace

Have you advised on British Steel pension transfers? Action required!

Compliance , , , , , ,

Firms who have advised clients to transfer away from the British Steel Pension Scheme (BSPS) should be well acquainted with the content of PS22/14 by now …   … but some don’t seem to be aware that they need to have completed some key activity for clients in scope of the redress scheme. The BSPS […]

Read More
Copyright © 2023 FCA

FOS updates

Compliance , , , , ,

The FCA has announced a call for input.     We’ve published a call for input on whether the thresholds for small and medium sized enterprises (SMEs) to be able to refer complaints to the Financial Ombudsman Service (Ombudsman Service) remain appropriate. In 2018, we made new rules extending access to the Ombudsman Service for […]

Read More
Black analog alarm clock at 7 01

Consumer Duty – does the April deadline apply to you?

Compliance

There are two Consumer Duty deadlines on the horizon. Firms must take note and action as required.     30 April 2023 The first deadline is 30 April 2023. By this date, Manufacturers should have completed all the reviews necessary to meet the outcome rules for their existing open products and services so they can […]

Read More
https---s3-eu-west-1.amazonaws.com-fta-ez-prod-ez-images-5-2-0-7-1217025-1-eng-GB-FCA2.JPG?v1

FCA Consumer Duty preparedness survey

Compliance , , , ,

The FCA has announced that it is conducting a Consumer Duty preparedness survey.     The survey is being sent to a sample of small and medium-sized firms to understand the progress they are making in implementing the Duty. The survey is being carried out on  behalf of the FCA by Ipsos Mori. The results […]

Read More
Broken heart cardboard on brown wooden table top

Ongoing client reviews

Compliance , , , ,

Consumer Duty will require most firms to review their business model and, in particular the value of the services they offer.   The regulator clearly has a focus on the ongoing service provided to clients. There are longstanding rules that require firms to: … consider whether the personal recommendation or any other related service is […]

Read More
Load More