Slider
"Shining a light on
compliance
"
Our speciality is
Compliance
We work with you to design the most appropriate service for your needs
ALL ANGLES COVERED
Hands on compliance
Section 166 and Regulatory Reviews
Audit and Health Checks
Regulatory Visit Preparation
File Checking & Past Business Reviews
Beautiful Reports

Create beautiful highly personalised and consistent reports, increase client engagement, and enhance your corporate image.

Latest News Article
DP 21/1 – strengthening financial promotion rules for high-risk investments

The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. Following feedback to its Call for Input (CFI) on Consumer Investments which closed in December 2020, the FCA has published discussion paper DP21/1 which outlines proposals to strengthen financial promotion rules for high-risk investments. The […]

previous arrow
next arrow
Slider

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

ATEB Compliance branded car

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 are developing a series of modularised online training courses, mostly covering advisory skills training and assessment.

FCA Applications

FCA Applications

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

Trusted by regulatory firms across the UK

Home

Suitability with Style

Sign up for a 14 day free trial of the the most advanced suitability report writing software in the industry

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.

Evolve Business Centre,
Cygnet Way,
Houghton le Spring
DH4 5QY

Some news for you

DP 21/1 – strengthening financial promotion rules for high-risk investments

DP 21/1 – strengthening financial promotion rules for high-risk investments

The FCA has published a discussion paper on strengthening financial promotion rules for high-risk investments and firms approving financial promotions. Following feedback to its Call for Input (CFI) on Consumer Investments which closed in December 2020, the FCA has published discussion paper DP21/1 which outlines proposals to strengthen financial promotion rules for high-risk investments. The […]
Compliance
Financial Resilience Survey – General Insurance

Financial Resilience Survey – General Insurance

The FCA Financial Resilience team has clarified the intention behind the data requested in their survey in relation to Question 2b. Question 2b, Please provide how much of your cash inflows advised in 2, is ‘contractually committed’. The online FAQ, gives the guidance … “We want to identify how much of your estimated cash inflow […]
Compliance
FCA Covid-19 survey to be repeated

FCA Covid-19 survey to be repeated

We have been advised by the FCA that they intend to issue yet another Covid-19 survey shortly. This is the FCA statement: “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 […]
Compliance
PS 21/4 – Extension of Annual Financial Crime Reporting

PS 21/4 – Extension of Annual Financial Crime Reporting

The FCA has confirmed in PS21/4 that it is proceeding with its previously stated intention to extend the requirement to submit REP-CRIM, the annual financial crime report.  Firms conducting the following activities, regardless of turnover, will have to submit the report: advising on investments, where the firm holds client money or assets arranging (bringing about) […]
Compliance
FG 21/3 – Pre-transfer advice information for clients

FG 21/3 – Pre-transfer advice information for clients

This fourth in a series of articles on FG 21/3 takes a closer look at the guidance around pre-advice information for clients enquiring about pension transfer advice. The FCA calls this ‘triage’, which derives from the French word trier which means to sort or to select. This label is really a misnomer as pre-advice information […]
Compliance

You can find many more articles at

news white

Receive our latest news articles directly to your Inbox by signing up here. It’s FREE.