Appointed Representatives – some SM&CR questions
Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one […]
FCA
AR survey
The FCA is requesting completion of a survey from firms with Appointed Representatives (ARs). Where applicable, firms may already have […]
FCA – short feedback survey
We have received the following from the FCA. “Many of you will be aware that we issued the […]
Early Oversight Function Pilot
The FCA set out in its Business Plan 21/22 how it is changing to improve performance and meet future challenges, […]
Pension Transfer Specialist – qualification deadline
FCA Policy Statement PS18/20 introduced a new requirement that all Pension Transfer Specialists (PTS) must hold the Level 4 qualification […]
FCA expectations in relation to remote or hybrid working
The coronavirus (Covid-19) pandemic has resulted in many firms adopting remote working for some or all employees. Indeed, some of […]
Pension transfer charging – avoiding misunderstanding
In any advice scenario, it is good practice to ensure that the client is clear about what service is to […]
FCA – Consumer
The FCA has published details of its new approach to consumer protection, which the regulator hopes will give consumers the […]
What should a good pension transfer report look like?
ATEB has worked with many firms over the past few years in relation to defined benefit pension transfer advice. This […]
Notifying breaches of the Conduct Rules
Even with all the deferrals of deadlines around implementation of the SMCR as a result of COVID, firms should now […]