Menu
Professional Standards Data Return

The FSA requested in their email of 06th December 2012 that the professional standards data collection return for each firm had to be submitted by the 29th January and subsequently within 20 working days from the end of each quarter if there had been a change at the firm.

If there has been a change at your firm i.e. unqualified staff now qualified or a change in personnel then please ensure that the spreadsheet is completed and returned in time.

If you are unsure or have any queries please ask your ATEB consultant.

Don’t forget to check Our View about this article and the Actions Required By You

Professional Standards Data Return

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.

SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

Financial Scams – Insuring the IFA’s Own Losses and the Client’s Losses

Compliance

More and more stories are coming to light of fraudulent schemes continuing to evolve at an alarming rate (please see recent ATEB news articles). Vigilance across the whole firm is essential.

Read More
Dark_wall_just_ateb_signage

Finalised Guidance: Inducements & Conflicts of Interest

Compliance , ,

The FCA’s finalised guidance (FG14-01) sets clear parameters.

Read More
Dark_wall_just_ateb_signage

Positive Compliance: Episode Three

Compliance , , , ,

This is the third in our series of Positive Compliance news articles and focusses on the important topic of Income Drawdown. Find out more by reading the full article.

Read More
Dark_wall_just_ateb_signage

Financial Scam Follow Up

Compliance

Following on from our previous article on this subject, one of our clients has kindly supplied the following information.

Read More
Dark_wall_just_ateb_signage

Mortgage Market Review Documentation

Compliance ,

The changes outlined in the Mortgage Market Review (MMR) come into effect on 26th April 2014. As promised ATEB now have a suite of documents to help you finalise your implementation.

Read More
Load More