A reminder that we are running a supervisor’s training workshop on the 25th September.
It is important that firms can demonstrate that they meet the FCA’s rules and guidance and specifcally that “Firms should ensure that those supervising employees ……. have the necessary coaching and assessment skills ….. to act as a competent supervisor and assessor.
Find out more about our workshop here.
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.
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FCA sets its expectations about how rules will operate in the new environment
2 places left on ATEB’s next supervisory training workshop on the 15th October 2015.
Reminder about important changes to CASS rules for Investment Firms
FCA concerns and best practice tips
FCA bans Add-On Product Opt-Out selling
Steve Bailey Compliance 2016, FCA
FCA bans the selling of add-on products on an opt-out basis across the financial services market