The FCA has set out steps firms should take to help identify key workers in financial services.
Firms need to take urgent action in relation to key workers. See full details here.
CREATE BEAUTIFUL
SUITABILITY
REPORTS
SUITABILITY
REPORTS
COVID-19 – urgent action required to identify key workers
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.
Our View
For information.
Action Required By You
For information.
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
Contact Us
Brought to you by
Explore more articles in this category
Other articles that you might be interested in
FCA Consumer Duty – Research and Due Diligence
The FCA is consulting on ‘A New Consumer Duty’ and this is receiving considerable press coverage. The consensus of opinion is that this will bring significant change, and there is no doubt that larger firms in particular, will need to review and update systems. With regards to smaller firms however, our view is that much […]
FCA data – tackling harm to consumers
The FCA has published the latest data on its work to tackle harm in the consumer investments market between April to September 2021. The data provides useful insights into specific areas of the FCA’s Consumer Investments Strategy, particularly higher-risk investments and scams. They have also issued a press release on the data, which you can […]
Awareness of the new FCA rule changes of sustainability
You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability. But before our adviser firm readers start to worry about rules they had not noticed on the horizon, we can confirm that the new rules do not affect adviser firms – yet. Regular readers […]
How accurate is the data your firm submits to the FCA?
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges. Read our previous article setting out a few of the key areas. Firms can learn from the progress to date on one of the key areas … The Early Oversight Function (EOF): stronger oversight […]
Ongoing client reviews – appropriate or not?
Alistair MacDougall Compliance FCA, Pension, PI, platform, Switch
FT Adviser published an article on 15 February under the headline “Advisers struggle to get savers to come for pension reviews”. We read this with interest and not a little concern. The article reported that one of the speakers at a recent conference stated that one of the greatest challenges faced by her advice […]