Please see the third issue of Pensions News here .
To access issues 1 and 2 of Pensions News, please see previous ATEB news articles.
There is normally a charge for this bulletin but for the first four issues, these will be provided free of charge via the ATEB newsletter. Thereafter, those interested in receiving the bulletin on an ongoing basis should contact ATEB for more information.
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.
Clients should not transfer unless that is in their best interests. The impact of initial and ongoing charges is one of the key factors that must be considered.
What should Principal Firms do in relation to ARs?
It is not enough for advice to be provided – it has to be understood.
9 December is approaching fast – are you ready for SM&CR?
SM&CR forms
Alistair MacDougall Compliance FCA, SM&CR, Update
Are you aware of all the forms associated with the SM&CR?