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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.

Our Clients

"We consider the services of ATEB to be an essential investment for our firm in the post RDR world. We engaged ATEB over three years ago, and their contribution not just to improving our compliance framework but also improving the robustness of all our business procedures has been significant and gratefully appreciated. "

Peter Glenton

Portland Financial Management

"Ateb have the ability to interpret the endless rules and regulations in such as way as to simplify the complex and distill the requirements of the regulator into a workable strategy that saves us time and money as well as ensuring that we remain 100% compliant. In times of need you can barely quantify the benefits of having 24/7 compliance support in the form of experienced and knowledgeable people who can offer face to face support that ‘out of the box’ and online compliance companies simply cannot provide when you need it most."

Paul Steel

Director, Estate Matters Ltd

"As Professional Indemnity broker to many IFAs it’s clear to me that if you use Ateb Consulting you’ll be particularly well advised and more aware of potential risks in your business than other firms which we know. Huw’s team has looked after us for more than ten years, advising us when we were an IFA, then subsequently managing our General Insurance compliance. Ateb turns puzzlement into clarity in one call."

Jamie Robertson-McIsaac

Robertson McIsaac Insurance Brokers

"We have used ATEB for external compliance support and expertise since 2003. We have never considered changing and foresee no reason to do so in the future. ATEB provide regular on-site support (at least twice a month) and are considered ‘part of the team’ by all directors, advisers and support staff. They are approachable and pragmatic, but also commercially minded. Their regulatory and compliance knowledge and risk management philosophy is second to none. I would not hesitate to recommend them"

Kevin Walker

Director, Blackett Walker Ltd

"I have had a professional relationship with ATEB now for around 10 years, both with my current and past company and also as an employee and business owner. They are forward thinking, proactive and offer a genuinely balanced view. They are definitely not “Yes” people and always advise on issues in a technically correct manner but crucially they are also pragmatic in their thinking. From a business owners perspective I have looked at alternative options over the years but these people are trusted professionals and I take peace of mind that our business has gained added value through working with ATEB and following its guidance."

Chris Woodhams

Director and Compliance Officer

"Since taking on the services of ATEB in 2013, they have reshaped my view of what a compliance support firm should be. Beyond simply helping us to meet our regulatory requirements in a compliant manner, they have helped to positively develop our internal framework, improved our procedures and have become an integral plug in to our business. Without question our business has gained added value with ATEB’s help and I would not hesitate to recommend the services on offer to any firm looking to improve their financial services business."

Sam Tate

Head of Operations, Vintage Chartered Financial Planners

"ATEB have been our go to compliance experts for well over a decade and unlike many of their peers, they really have a pragmatic and common sense approach which prevails over pure adherence to rules. They provide us with honest, well informed support and every one of them are consummate professionals and nice people to deal with. We see ATEB as a cut above the rest and their knowledge and experience are invaluable to us in an ever changing regulatory environment. As a result, we’ve never seen a reason to look elsewhere for our compliance support."

Paul Jay

Compliance Director, Armstrong Watson Financial Planning Limited