Seven steps to suitability
Useful reminders following a recent FCA thematic review
2015
New Capital Adequacy Requirements
Changes confirmed for Personal Investment Firms from 30 June 2016
Pension Reforms – FCA Consults on Proposed Changes
FCA sets its expectations about how rules will operate in the new environment
Supervisor’s Training Day 15th October 2015
2 places left on ATEB's next supervisory training workshop on the 15th October 2015.
Client Asset Sourcebook (CASS) for Investment Firms
Reminder about important changes to CASS rules for Investment Firms
FCA Finalises Further Changes to Complaints Handling Rules
The FCA is changing the way you handle and report complaints – again!
Changes to Consumer Buy-to-Let Mortgage Rules
Consumer Buy-to-Let Mortgage Registration Process to be introduced
Alternative Dispute Resolution (ADR) Effective 9 July 2015
Complaints procedures and templates will need updating.
Webinar: Financial Advice in Later Life
Ageing client bank? This could be useful
AF3 Exam revision/training support
Need help with the AF3 exam in October?