Attitude to risk. It’s not just about the score
An old proverb says that a bad workman blames his (or her, as the case may be) tools, but do […]
Compliance
Just when you thought it was safe to go back in the water
This was the tagline written for the movie Jaws 2 and like the shark in the film, the FCA appears […]
Best interests. Whose?
You’d have thought that poor advice was becoming a rarity by now wouldn’t you? But no, it still seems to […]
Suitability reports – silver bullet, or not?
If you ask most advice firms which part of the advice process consumes the most time, most will reply: “Suitability […]
FCA Final Notices – riveting reads
The title may well lead you to thinking that this guy isn’t too tightly wrapped and perhaps a couple of […]
Unravelling client objectives
Client objectives are the starting point for virtually all advice scenarios, but how often do the objectives recorded on file […]
Good news story!
Last week we reported that one of ATEB’s firms had received a monster information request from the FCA. This week […]
Consumer Duty – the shape of things to come?
In its numerous publications prior to the implementation of Consumer Duty, the FCA promised that it would be more proactive […]
The replacement business blind spot?
We’ve been involved with a number of firms who are on the acquisition trail and as part of the due […]
Good Consumer Outcomes?
Thomas Fuller, the 17th Century author and historian said that: “Health is not valued till sickness comes.” It […]