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Questions, questions…
Attitude to risk. It’s not just about the score
Just when you thought it was safe to go back in the water
Best interests. Whose?
Suitability reports – silver bullet, or not?
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Questions, questions…

As a result of firms needing to implement Consumer Duty this year (and many still don’t appear to have their act together yet), there hasn’t been much output from the regulator in the latter half of 2023. That has changed. In recent weeks the FCA seems to have issued more paper than confetti at a […]

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No short term solutions or false promises

Best Practice, Business Processes, Risk Management, Corporate Governance

These are our mantras – compliance is an inevitable by-product

Your success is our success

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Services

ATEB means ‘Answers’.
Unlike many consultancies, we don’t hide behind a plethora of rules but provide in-depth and detailed answers. Our services are tailored to your needs, built around regular contact with a dedicated consultant.
A tangible service for a transparent cost.
Hands on compliance

Hands on compliance

Our core and most popular service. 

We don’t simply report and run and leave you to get on with it, but work with you to implement solutions through regular and dedicated hands-on support.

Section 166 and Regulatory Reviews

Section 166 and Regulatory Reviews

Having undertaken numerous S166 and regulatory reviews, we appreciate that empathy is the key to unlocking what is often a daunting experience. 

Audit and Health Checks

Audit and Health Checks

An auditing system that can focus on specific areas of concern like PROD or SM&CR, or an all-encompassing audit of your compliance regime.

Report Writing Software

Report Writing Software

Industry leading suitability report writing software that can be fully tailored to reflect your style, content and brand. 

Supervisory Training

Supervisory Training

ATEB provides both online and workshop based supervisory training courses.

Regulatory Visit Preparation

Regulatory Visit Preparation

When the FCA come knocking, it’s best to be prepared. We can provide a regulatory shoulder to lean on.

E-Compliance

E-Compliance

This is out lighter touch support service providing access to detailed toolkits, dedicated online workspace, remote support, detailed FAQs and bolt on services.

Bespoke Project Work

Bespoke Project Work

Compliance should be a by-product of a well thought through and controlled process. We specialise in design and implementation of bespoke solutions to manage regulatory risk.

File Checking

File Checking

Our consultants conduct detailed file checks covering all products from straightforward investments to complex defined benefit pension transfers, with comprehensive, multi page feedback.

Online Training and Webinars

Online Training and Webinars

We have developed a series of modularised and structured online training courses, for example for T&C Supervisors training and assessment, and are developing other courses covering advisory skills training. We also have a number of free webinars which can be used for unstructured CPD.

FCA Applications

FCA Applications

If you are applying to the FCA for Part IV permissions or Variations of Permissions, we can help.

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Questions, questions…

Questions, questions…

As a result of firms needing to implement Consumer Duty this year (and many still don’t appear to have their act together yet), there hasn’t been much output from the regulator in the latter half of 2023. That has changed. In recent weeks the FCA seems to have issued more paper than confetti at a […]
Link
Compliance
Attitude to risk. It’s not just about the score

Attitude to risk. It’s not just about the score

An old proverb says that a bad workman blames his (or her, as the case may be) tools, but do firms really understand some of the tools they use?   As usual, we’ve been doing some file reviews for firms, but one area where issues keep cropping up is attitude to risk. Virtually all of […]
Link
Compliance
Just when you thought it was safe to go back in the water

Just when you thought it was safe to go back in the water

This was the tagline written for the movie Jaws 2 and like the shark in the film, the FCA appears to be showing its teeth.   Those who read the industry press will have seen numerous articles following issue of the FCA’s Dear CEO letter entitled FCA Requirements for Wealth Management and Stockbroking Firms, issued […]
Link
Compliance
Best interests. Whose?

Best interests. Whose?

You’d have thought that poor advice was becoming a rarity by now wouldn’t you? But no, it still seems to be alive and kicking judging by the number of individuals being cited as being ‘incompetent’ by the FCA. Just last week, the regulator published yet another final notice which made startling reading. This time 422 […]
Link
Compliance
Suitability reports – silver bullet, or not?

Suitability reports – silver bullet, or not?

If you ask most advice firms which part of the advice process consumes the most time, most will reply: “Suitability Reports”. Based on the mammoth documents that some firms still produce, we can understand why. We do have some sympathy with firms though. On the one hand they’re told by the FCA that reports are […]
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Compliance

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