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.
In response to the chancellor’s announcement earlier today we have updated our optional Glossary of Terms Appendix with immediate effect to include information on the revised Stamp Duty and Land Tax ‘holiday’ We are here to help Our support team are available 9am – 5pm / Mon – Fri to answer any further questions you […]
The second part of our series covering the implications of PS20/06. This time … Abridged Advice.
The effective date of the new rules on investment pathways has been deferred.
A reminder that firms having adequate PI cover is an area of focus for the FCA.
New Content Integrations from Leading Third-Parties and much more
David Anderson Suitability 2020, CleverMPS, Dynamic Planner, Evalue, FCA, ML, Pension, Pension Transfer, PI, Switch, Update
New Content Integrations from Leading Third-Parties and Much More