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.
ATEB Compliance offers compliance and regulatory advice.
ATEB Suitability provides report writing software for the financial services market.
The FCA has issued a second guidance consultation relating to vulnerable customers.
An email hacking scam first seen a few years ago is back.
Do you have to provide a suitability report for clients that are not UK citizens?
The EU/US Privacy Shield agreement has been struck down by the ECJ.
Suitability Reports – avoiding common problems
Alistair MacDougall Compliance complaints, Pension, PI, Update
How to avoid some of the commonly found issues with Suitability Reports.