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LATEST NEWS
FCa consults on new fees for 2022/23
Pension transfers – considering life cover
Conduct Rules Breaches – follow up
New anti-scam rules for scheme trustees
Government Scrap Protected Pension Age Window
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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Beautiful Reports

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

Latest News
Latest News Article
Pension transfers – considering life cover

We have seen a very large number of pension transfer suitability reports since the introduction of the pension freedoms that came out of the Pensions Act 2015.   Many of these displayed two common threads running through the recommendation. First, many of the clients apparently wanted ‘flexibility’. Second, those same clients wanted ‘control’. These two […]

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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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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 consults on new fees for 2022/23

FCa consults on new fees for 2022/23

The FCA has published a consultation paper on proposed policy changes to the way its fees will be calculated from 2022/23. The paper includes proposed increases to the fees financial services firms pay to cover the cost of regulation.   In the April 2021 fee consultation, the FCA said it would undertake a review of […]
Link
Compliance
Pension transfers – considering life cover

Pension transfers – considering life cover

We have seen a very large number of pension transfer suitability reports since the introduction of the pension freedoms that came out of the Pensions Act 2015.   Many of these displayed two common threads running through the recommendation. First, many of the clients apparently wanted ‘flexibility’. Second, those same clients wanted ‘control’. These two […]
Link
Compliance
Conduct Rules Breaches – follow up

Conduct Rules Breaches – follow up

We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended to clarify some of the grey around COCON breaches. All of the following is taken from Policy Statement PS 18-14. When is disciplinary action required? When and how a firm decides to undertake disciplinary action […]
Link
Compliance
New anti-scam rules for scheme trustees

New anti-scam rules for scheme trustees

The rights of pension scheme members to transfer, that were established in the Pensions Act 2015 are no longer absolute from 30 November 2021.   From that date, in an attempt to identify potential scams and prevent members becoming victims, trustees and scheme managers must ensure specific checks are made before complying with a member’s […]
Link
Compliance
Government Scrap Protected Pension Age Window

Government Scrap Protected Pension Age Window

We previously issued a newsletter in February 2021, outlining government proposals to increase the Normal Minimum Pension Age (NMPA) from 55 to 57, with the change due to come into effect from 6 April 2028. This means that from April 2028, the earliest a member of a pension scheme will be able to access their […]
Link
Compliance

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