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LATEST NEWS
New FCA fee for Form A applications
Upgraded ATEB Member’s Area
Pension switches – what is required?
Pension Transfer – FCA Advice Checker
British Steel Transfers – Asset Retention
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"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
New FCA fee for Form A applications

We have been advised by the FCA as follows:     “Following our recent revalorisation of the application fees earlier this year, on 24 January we advised that we would be introducing a new charge of £250 for standalone long Form A applications both for Senior Manager Functions and Controlled Function for Appointed Representatives.  We […]

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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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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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Houghton le Spring
DH4 5QY

Some news for you

New FCA fee for Form A applications

New FCA fee for Form A applications

We have been advised by the FCA as follows:     “Following our recent revalorisation of the application fees earlier this year, on 24 January we advised that we would be introducing a new charge of £250 for standalone long Form A applications both for Senior Manager Functions and Controlled Function for Appointed Representatives.  We […]
Link
Compliance
Upgraded ATEB Member’s Area

Upgraded ATEB Member’s Area

We are delighted to announce that our new and upgraded Member’s Area will be available on Monday 9th May.     Aligned to our current standards and branding, it provides access to a comprehensive toolkit of processes, procedures and templates, as well as training material, such as webinars and supervisory workshops. We will be adding […]
Link
Compliance
Pension switches – what is required?

Pension switches – what is required?

We have covered regulatory requirements around replacement business, more commonly referred to as switch business, before. As this appears to comprise a significant proportion of the source of many firms’ business, it is always relevant to revisit this from time to time. You can link to our previous articles here. It is particularly relevant to […]
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Compliance
Pension Transfer – FCA Advice Checker

Pension Transfer – FCA Advice Checker

Back in June 2020, the FCA published an ‘advice checker’ to help consumers assess whether pension transfer advice they had received might be unsuitable and might warrant a complaint. This has now been updated and relaunched.   Details can be found here and the page includes a link to the checker itself. It is interesting […]
Link
Compliance
British Steel Transfers – Asset Retention

British Steel Transfers – Asset Retention

The FCA has made the following announcement.     “This morning we have announced that we are using emergency powers to prevent certain financial advice firms, who advised members of the British Steel Pension Scheme (BSPS), from disposing of assets to avoid paying compensation. This follows our previous announcement on proposals for a redress scheme for former BSPS members.  […]
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Compliance

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