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

Person holding a green plant

Keeping up with growth

Compliance , ,

There has been lots of political talk in recent months about the need for economic growth. Has to be a good thing yes?   Well, yes and no actually. Growth needs to be robust and sustainable, otherwise this year’s growth could be next year’s problem. And that, in essence, is what a recent FCA review […]

Read More
Value text in frame

Consumer Duty Dear CEO Letter: Demonstrating Value

Compliance ,

Last week the FCA issued a Dear CEO Letter to firms in the Consumer Investment sector to “help them implement and embed the (Consumer) Duty effectively”.   The FCA outline four key areas of concern, notably: Mainstream investments: Concern surrounds clients receiving poor value, specifically in relation to paying for products and service that services […]

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

Consumer Duty: FCA Multi-Firm Review

Compliance , ,

The FCA has published the results of its review of the Consumer Duty implementation plans of larger firms, in order to help firms understand its expectations.   You can read the results here. The findings reflect that, while many of the plans reviewed evidenced firms had established extensive programmes of work to embed the Duty, […]

Read More
Copyright © 2023 FCA

Action required – Firms with Appointed Representatives

Compliance ,

The FCA has issued the following reminders for Principal Firms.     Respond to our request for information about Appointed Representatives (ARs) In December 2022 we sent a mandatory Section 165 (S165) request to principal firms. This request reflects new rules requiring principals to provide more information about their Appointed Representatives (ARs) and strengthens the […]

Read More
Black blue and red graph illustration

CIPs and Independence – what’s all the fuss about?

Compliance , , , , , , ,

Many firms are now operating their own preferred investment solution – a Centralised Investment Proposition (CIP) – which they seemingly recommend to most, if not all, of their clients.   Firms regularly raise questions with ATEB around the use of a CIP. What firms are usually concerned about is whether this impinges upon their ability to […]

Read More
Load More