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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The migraton of firms from Gabriel to RegData continues.
New rules for firms in relation to NMPIs, SISs or mini bonds.
Dates to note.
Most adviser websites are financial promotions. Is yours compliant?
FSCS protection post BREXIT transition
Alistair MacDougall Compliance 2020, FCA, PI
Are you aware of the changes to consumer protection?