Is your website compliant?
Many of the FCA rules around firms' websites are those related to financial promotions. Not every website is a financial
FOS
Saving clients from scams
Scams are a scourge of the modern age. Of course, scammers and scams have probably existed for as long as
Another pension switch bites the dust
Despite the very limited holiday options currently available, here at ATEB, we have never been so busy so a break
Complaints considered by a court
It is widely known that a final decision by the Financial Ombudsman Service (FOS), which has been accepted by the
Complaints return – a reminder
We thought it appropriate to issue a reminder about the SUP 15.12 notification requirements where, in a 12-month period, a Retail
Professional Indemnity Insurance
BackgroundIn January 2020, the FCA wrote a Dear CEO letter which outlined Professional Indemnity (PI) Insurance as one of their
Adviser only platforms
There was an interesting FOS case reported recently. The client had a pension portfolio invested via a platform before engaging
If it’s not written down, it doesn’t exist
How often have you heard that sentiment expressed by some compliance person? Interesting FOS decision The continued relevance of that
Market downturn – communicating with clients
The recent stockmarket downturn and health emergency could well have led to advisers asking themselves some difficult questions: How long
If it’s not written down, it doesn’t exist
"If it's not written down, it doesn't exist." How often have you heard that sentiment expressed by some compliance person?