Early Oversight Function Pilot
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges, […]
Compliance
Pension Transfer Specialist – qualification deadline
FCA Policy Statement PS18/20 introduced a new requirement that all Pension Transfer Specialists (PTS) must hold the Level 4 qualification […]
FCA expectations in relation to remote or hybrid working
The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of […]
Pension transfer charging – avoiding misunderstanding
In any advice scenario, it is good practice to ensure that the client is clear about what service is to […]
FCA – Consumer
The FCA has published details of its new approach to consumer protection, which the regulator hopes will give consumers the […]
What should a good pension transfer report look like?
ATEB has worked with many firms over the past few years in relation to defined benefit pension transfer advice. This […]
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 […]
Operational resilience: preparing for the switch from analogue to digital phone lines
The FCA has recently issued a reminder to firms about forthcoming changes to the UK telephone system. The […]
DB Advice – CPD correction
FT Adviser published an article on 21 September under the heading ‘How to advise on DB transfers’. We would like […]
AR applications update
Following the recent FCA changes to combined AR applications with the Approved Persons applications on 16th September, some firms who […]