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FCA COVID survey – tranche 2 dates
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation
FCA fee changes
FCA Covid-19 Impact Survey
IFPR and Remuneration Policy
Shining a Light
"Shining a light on
compliance
"
NOT Report and Run
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Our speciality is
Compliance
We work with you to design the most appropriate service for your needs
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Hands on compliance
Section 166 and Regulatory Reviews
Audit and Health Checks
Regulatory Visit Preparation
File Checking & Past Business Reviews
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Create beautiful highly personalised and consistent reports, increase client engagement, and enhance your corporate image.

Latest News
Latest News Article
FCA COVID survey – tranche 2 dates

We have received details of the latest COVID survey from the FCA. See below for Tranche 2 dates.     “Many of you will be aware that we issued the first phase of the Covid-19 Impact Survey in June 2020, covering around 13,000 firms across 15 Supervision portfolios (Tranche 1), and then rolled this out […]

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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 range of 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 training for level 1 Core Supervisory Skills and level 2 Advanced Supervisory Skills.

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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Contact Us

We’d love to hear from you. Whether it is a simple question or a valuable suggestion, we are here 24/7. You can call us by phone or email us directly.

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Cygnet Way,
Houghton le Spring
DH4 5QY

Some news for you

FCA COVID survey – tranche 2 dates

FCA COVID survey – tranche 2 dates

We have received details of the latest COVID survey from the FCA. See below for Tranche 2 dates.     “Many of you will be aware that we issued the first phase of the Covid-19 Impact Survey in June 2020, covering around 13,000 firms across 15 Supervision portfolios (Tranche 1), and then rolled this out […]
Link
Compliance
General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation

General Insurance Pricing Rules – Compliance with ICOBS 6B Attestation

The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in relation to compliance with ICOBS 6B attestation. The deadline for submission is 31 March 2022, and attestation will need to be made by all firms who operate with the above permissions on a periodic basis. […]
Link
Compliance
FCA fee changes

FCA fee changes

The FCA has advised upcoming changes to authorisation application fees as follows:     “On 24 January we’ll be simplifying our authorisation application fees including Variation of Permission. Today we’ve published Policy Statement 22/1, which follows our consultation in November 2020 and feedback on the responses in April 2021. We’ll be introducing fewer pricing categories. […]
Link
Compliance
FCA Covid-19 Impact Survey

FCA Covid-19 Impact Survey

We have received the information below from the FCA.     “Many of you will be aware that we issued the first phase of the Covid-19 Impact Survey in June 2020, covering around 13,000 firms across 15 Supervision portfolios (Tranche 1), and then rolled this out to a further 9,500 firms in 21 portfolios (Tranche […]
Link
Compliance
IFPR and Remuneration Policy

IFPR and Remuneration Policy

The new UK Investment Firms Prudential Regime (“IFPR”) came into force on 1 January 2022 and applies to UK investment firms authorised under the Markets in Financial Instruments Directive (“MiFID”) as it is applied in the UK post-Brexit. This includes previous “BIPRU” firms and “Exempt CAD” firms, as well as alternative investment fund managers (“AIFMs”) […]
Link
Compliance

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