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.
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ATEB Compliance offers compliance and regulatory advice.
ATEB Suitability provides report writing software for the financial services market.
A hot topic with the FCA
The FCA has issued two new documents that are important for firms selling products using a simplified advice or non-advised sales process.
Just creating yourself extra work?
Huw Reynolds, ATEB Director, raises £2,000 for charity.
Disclosure of Total, Client Specific, Adviser Charge
Steve Bailey Compliance FCA, PI, Switch
It is important that firms understand what is needed in this respect and disclose adviser fees compliantly