FCA survey – Credit broking
The FCA continues to keep busy with yet another survey being announced. We have received the following notification from the
2021
DP 21/1 – strengthening financial promotion rules for high-risk investments
The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions.
FCA Covid-19 survey to be repeated
We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the
ESG, ESG, ESG!
Well, 21 March has come and gone and, while it is presumed that the EU’s new disclosure rules around sustainable
STOP PRESS: Directory Persons Information
We have received the following from the FCA. ATEB can help firms get over the line – call +44 (0)
Catering for Investment Pathways
Hot on the heels of our Periodic Review update last week, we have added a new section to the main
Finalised guidance – Advising on pension transfers
Alongside the rules introduced in October 2020 by Policy Statement (PS 20/6), the FCA published an accompanying guidance consultation (GC
Upgraded Periodic Review Template with Costs and Charges Statement + Much More
We completed the latest upgrade to ATEB Suitability on 6th April 2021. This update comes at no additional cost and
FCA COVID SURVEY – PART 4
The FCA has advised the following: “Many of you will be aware that we issued the first phase of the
Directory Persons: data submission deadline
The FCA has advised as follows. “As you will be aware, all firms with Directory Persons must have certified /