ATEB has completed a number of Section 166 Skilled Persons reviews - here are some of the lessons learnt.
MiFID II PROD rules require firms to ensure products and funds are matched to the the right 'target market' clients.
Senior Managers & Certification Regime will apply to all FCA regulated firms from 9 December 2019 - are you ready?
Firms that deal with a DFM on an agent as client basis could be exposed to hidden risks.
Many providers, platforms and adviser firms are not yet properly compliant with the aggregated costs disclosure requirements.
Many cash flow models are not compliant with FCA rules on growth assumptions. Are yours?
Firms that advise on DB transfers need a process for assessing Transfer Risk.
Many firms have not amended their status disclosure to reflect the MiFIDII definition of independence.
ATEB is one of the few compliance consultancies that can undertake FCA Conduct of Business Skilled Persons (Section 166) Reviews.
We are one of the earliest compliance consultancies, founded in 1996 to plug a gap in the market. Since then, we have provided pragmatic and hands-on support to IFAs, mortgage brokers and general insurance intermediaries. We have long standing and loyal clients; many have been with us since the start in 1996.
While we can introduce you to third party professionals, we do not receive any form of inducement for doing so and hence we provide a completely unbiased and independent service, focusing solely on your needs.
Over the past 12 months our consultants have completed nearly 1000 on-site client visits.
We pride ourselves on the quality of service provided and have a proven track record of delivering consistently high standards. Don't just take our word for it; see for yourselves what our clients say.