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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.

Compliance Support Services

Our speciality is compliance, with the emphasis on expert advice and value added, ongoing support. We are not here simply to provide you with templates and pro-formas; our remit is to work with you to design the most appropriate service for your budget and objectives.

Core Compliance Services:
Online Compliance Manual and Support Library
Annual Risk Based Audit
Regular Meetings with your Consultant
Month-by-month Compliance Activity Calendar
Risk Assessed File Checks
Compliance Plan
GABRIEL and RMAR Support and Completion
Compliance Checklists
Newsletters and Bulletins
Financial Promotions Approval
Complaints Handling Assistance
Business Continuity Plan
Risk Management Plan
Conflicts of Interests Policy
Anti-Money Laundering Report
TCF Plans and Assessments
Part IV Applications
Variations of Permission
Variation of Controlled Functions
Mergers & Acquisitions
Regulatory Training
Core Training & Competence Services:
Online T&C Manual and Support Library
Training & Competence Plan
One-2-one Reviews
Training Needs Analysis
Training & Development Plans
KPI/MI Reviews
Competency Assessments
Annual Declarations
Role Plays and Coaching