Compliance – ATEB News

Publication of Directory Persons data

23 February 2021 Michael Senior Compliance

Another March reminder! Solo-regulated firms must submit their Directory Persons data via Connect by 31 March 2021. Submissions of 10 persons or

23 February 2021 Michael Senior Compliance

March is almost here and Spring is in the air. So probably the last thing you are thinking about is

23 February 2021 Lisa Cross Compliance

We have received the following from the FCA; "On Tuesday 23 February, we published guidance for firms on the fair

23 February 2021 Richard Foster Compliance

Consultation on increasing the NMPA to age 57 On 10 February 2021, and without much in the way of publicity,

17 February 2021 John Begg Compliance

Way back in December 2019, the FCA published PS19/29 – Making Transfers Simpler. The policy statement and accompanying rules were

17 February 2021 Paul Caine Compliance

Assessing suitability has always essentially been based around the same overarching principles … The recommended product type should

9 February 2021 Alistair MacDougall Compliance

Since the end of the BREXIT transitional period on 31 December 2020, we have received quite a few queries from

9 February 2021 Shirley McKenzie Compliance

We have recently been made aware of scam emails appearing to request firms to provide information via RegData, which the

9 February 2021 Alistair MacDougall Compliance

In Market Watch 66, the FCA reminded firms of its requirements for firms in relation to recording telephone conversations and

2 February 2021 Alistair MacDougall Compliance

We wrote recently about the coming of investment pathways and what it means for advisers. See here. Although the rules