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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.

Supervisor's Training Programme

"Firms should ensure that those supervising employees ..... have the necessary coaching and  assessment skills ..... to act as a competent supervisor and assessor"

It's not us saying this; it is FCA Rules and Guidance (see TC Soucebook Chapter 2).

ATEB runs one day supervisory training courses that provide the necessary grounding for supervisors and are up to date with RDR requirements.

The course covers:

  • Overview of general T&C requirements on regulated firms
  • Setting customer facing sales process standards
  • Consistent and accurate assessment skills
  • Theory of coaching and training
  • Training Needs Analysis completion
  • Constructing SMARTA development plans
  • Structuring one to ones
  • Monitoring performance.

We can run in-house courses for larger firms and regional courses around the country.

To find out more please use the Contact Us section of this website.