ATEB suitability allows a high degree of tailoring so that all reports are individual, both to the firm (brand and image) and individual to the client (fully personalised).
By using your own firm’s logos, standard fonts and look and feel, you can promote your individual brand.
By including soft facts, client specific requirements and the client’s own words in reports, they become individual to the client.
While some standardisation is essential for control and consistency, suitability reports should be individually created.
Identify, Assess & Manage
Steve Bailey Compliance FCA
Before you read on, what do you think the title refers to? The answer is Business Risks. The FCA has been highlighting this issue in workshops. They expect firms to ‘Identify, Assess & Manage’ risks and to be able to provide documentary proof that they are so doing. They expect firms to have at least […]