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New pension nudge rules
Change to Firm Reference Numbers
New notification requirement – 25 June 2022
Ensuring the fair treatment of customers in vulnerable circumstances
FCA Survey – problem question
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compliance
"
NOT Report and Run
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Our speciality is
Compliance
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Audit and Health Checks
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New pension nudge rules

One of our clients recently received this note from a SIPP provider.     “You may already be aware that 1st June 2022 saw new FCA rules (Policy Statement PS21/21) come into force which require all pension providers to give clients a stronger ‘nudge’, in certain circumstances, towards guidance from the government’s Pension Wise service […]

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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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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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New pension nudge rules

New pension nudge rules

One of our clients recently received this note from a SIPP provider.     “You may already be aware that 1st June 2022 saw new FCA rules (Policy Statement PS21/21) come into force which require all pension providers to give clients a stronger ‘nudge’, in certain circumstances, towards guidance from the government’s Pension Wise service […]
Link
Compliance
Change to Firm Reference Numbers

Change to Firm Reference Numbers

The FCA has advised as follows:     “We currently use six-digit Firm reference Numbers (FRNs) to uniquely identify firms, and six-digit Product Reference Numbers (PRNs) to uniquely identify funds. We’re likely to reach the six-digit limit (999999) during 2023, given the volume of applications and notifications we receive. We’re planning a move to seven-digit […]
Link
Compliance
New notification requirement – 25 June 2022

New notification requirement – 25 June 2022

A new notification rule takes effect from 25 June 2022. Read on for details.     Firms will be aware that it is mandatory to notify the FCA in a number of defined circumstances. The general notification requirements are described in SUP 15. SUP 15.11 describes the detailed notification requirements in relation to breaches of […]
Link
Compliance
Ensuring the fair treatment of customers in vulnerable circumstances

Ensuring the fair treatment of customers in vulnerable circumstances

With Consumer Duty requirements set to take effect in Q2 2023 and ahead of the final rules being published – expected in July 2022 – firms should consider the FCA’s findings in relation to how firms are dealing with vulnerable customers so far.   In February 2021, the FCA published FG21/1 ‘Guidance for firms on […]
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Compliance
FCA Survey – problem question

FCA Survey – problem question

We wrote recently about the latest FCA survey. This is mandatory and some firms have been querying how to answer one of the questions.   The question asks – What are your estimated cash needs (fixed costs, known variable costs) and expected cash inflows between 1 March and 31 May 2022? (GBP) Please report the […]
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Compliance

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