Are you truly Independent? Read ATEB's special report here.
Consumer Credit. FCA regulation much more onerous than the OFT - do you have the right permissions?
Pension Transfer rules have changed. Switching pensions with GARs now require additional permissions.
To help firms get to grips with the new regulations, ATEB will be running seminars in April.
In light of MiFID II this is worth revisiting
The FCA is enhancing the requirements for the provision of an ‘information prompt’ to prospective annuity consumers.
A light hearted story of every day file reviews - with some serious messages.
There are some apparent anomalies in the rules. We have obtained 'clarification' from the FCA.
A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
This new requirement is posing some questions about how it can best be implemented. We think that firms should wait until the mechanisms in the market place are a little clearer.
How will changes to compliance governance affect your company?
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 Exempt.