Hot Topics

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 E-News

The FCA has partnered with other regulators to create a guide for consumers.

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It may be possible to carry some CPD over from the current year.

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03 June 2020

Call recording issues

The FCA has issued a statement in respect of firms' call recording obligations during the COVID-19 emergency.

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Firms should consider the PROD target market attributes when segmenting clients and creating an investment proposition.

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27 May 2020

SCAM Email

An email being received by firms, purporting to be from the FCA, is a scam.

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It is essential to consider LTA implications carefully when transferring from a pension arrangement with safeguarded benefits.

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