As we near Halloween and reach the twilight of our journey, we thought this might be appropriate.
Without wanting to scare the living daylights out of you, could your suitability reports come back from the grave to haunt you sometime in the future?
Over the many years that we’ve worked in this industry, there have been countless episodes of retired advisers being chased by the FSCS, lawyers or ambulance chasers.
The best defence you have is a robust client file and of fundamental importance is a fit for purpose Suitability Report.
We leave our journey from A – Z therefore by imploring you, whether or not you use ATEB suitability, to ensure that your suitability reports are of the highest possible quality.



Regulatory permission – use it or lose it
Michael Senior Compliance 2021, FCA, ML, protection, Register
The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms. Responses to the consultation (CP21/28) close on 29 October 2021. The driver behind the proposed power is the regulator’s belief that incorrect or outdated permissions […]