Questions, questions…
As a result of firms needing to implement Consumer Duty this year (and many still don’t appear to have their […]
training
FCA Final Notices – riveting reads
The title may well lead you to thinking that this guy isn’t too tightly wrapped and perhaps a couple of […]
Online Supervisor’s Training Course
We have developed an online training course to assist T&C supervisors demonstrate competence in their role.
New notification requirement – 25 June 2022
A new notification rule takes effect from 25 June 2022. Read on for details. Firms will be aware […]
Upgraded ATEB Member’s Area
We are delighted to announce that our new and upgraded Member’s Area will be available on Monday 9th May. […]
FCA provide guidance on SMF16/17 appointments
Firms should have heads of compliance and money laundering reporting officers (MLROs) who are suitably competent and capable of effectively […]
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 […]
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 […]
Managing conflicts of interest
There is a longstanding regulatory principle (Principle 8) that a firm must manage conflicts of interest fairly, both between itself […]
Recording client meetings
Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record […]
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