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

2FA lead image

New Security Feature: Two-Factor Authentication

Suitability , , , ,

We have completed the latest upgrade to ATEB Suitability on 7th September 2022. This comes at no additional cost and provides a security enhancement to protect your ATEB Suitability account. Two-Factor Authentication As part of our ongoing commitment to provide a secure service, we have now implemented Two-Factor Authentication (2FA) as part of the ATEB […]

Read More
Copyright © 2023 FCA

Consumer Duty starts to take hold

Compliance

Consumer Duty rules will take full effect from 31 July 2023. However, it is starting to show its face already.   This message is now appearing on Connect in some circumstances. “The majority of firm types that need to apply for authorisation or existing firms seeking to vary their permissions will need to comply with […]

Read More
Crop black woman typing on laptop in light room

Online Supervisor’s Training Course

Compliance

We have developed an online training course to assist T&C supervisors demonstrate competence in their role.

Read More
August'22 update cover image

New Content Integration with EBI, Periodic Review Template Updates & Much More

Suitability , , , , , , , , ,

We have completed the latest upgrade to ATEB Suitability on 14th August 2022. This update comes at no additional cost and provides various template related enhancements as well as a new addition to our content integration library. Full details of the enhancements can be found in the tables below, but some of the highlights are: […]

Read More
Copyright © 2023 FCA

Appointed Representative regime changes

Compliance , , ,

In our previous article following the issuance of FCA’s Policy Statement PS22/11, we covered the Regulator’s rationale for changes to the Appointed Representative (AR) regime and the outcomes it is looking for. This article looks in more detail at the new rules and requirements and the wider impacts of the revised requirements.

Read More
Load More