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"Shining a light on
compliance
"
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
Beautiful Reports

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

Latest News Article
Recommending a ‘do not transfer’

Here is a question. If a client is being recommended NOT to transfer, do you still need to identify a destination arrangement for transferred funds? This question has been raised recently as we have seen an increase in the number of cases where the recommendation is ‘do not transfer’ and, at first sight it seems […]

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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 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

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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

Changes to DB Transfer redress calculations – an update

Changes to DB Transfer redress calculations – an update

We wrote about the background to updated redress guidance following the Chancellor’s announcement of changes to the way that the Retail Prices Index (RPI) inflation measure is calculated from 2030. You can read that article here. The FCA’s transfer redress guidance has now been duly updated and can be accessed here. The changes affect all […]
Compliance
Recommending a ‘do not transfer’

Recommending a ‘do not transfer’

Here is a question. If a client is being recommended NOT to transfer, do you still need to identify a destination arrangement for transferred funds? This question has been raised recently as we have seen an increase in the number of cases where the recommendation is ‘do not transfer’ and, at first sight it seems […]
Compliance
FCA whistleblowing campaign

FCA whistleblowing campaign

The FCA has launched a whistleblowing campaign ‘in confidence, with confidence’ to encourage individuals working in financial services firms to report potential wrongdoing. Whistleblowing is considered vital to expose poor practice and prevent wrongdoing in activities regulated by the FCA. Firms’ senior management are expected to have effective whistleblowing arrangements in place to enable employees to raise […]
Compliance
A closer look at FG 21/3 – finalised guidance on transfers

A closer look at FG 21/3 – finalised guidance on transfers

In our recent article giving an overview of Finalised Guidance (FG 21/3), we indicated that we would pick out a few of the more interesting snippets for a closer look. That is not to imply that the rest of the guidance is of no interest, just a reflection that much of the guidance is a […]
Compliance
New FCA online invoicing portal goes live

New FCA online invoicing portal goes live

Further to our recent article regarding the FCA’s plans to launch a new online invoicing portal, the FCA has confirmed that the new portal has gone live on schedule, 12 April. As with the previous portal, firms can use the portal to access their invoices and arrange payment of their fees. Visit the FCA website […]
Compliance

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