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
Recording client meetings

Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record all telephone calls, and keep a copy of electronic communications, that relate to the activities in financial instruments referred to in SYSC 10A.1.1R(2) (and that are not excluded by SYSC 10A.1.4R), and that are made […]

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

Recording client meetings

Recording client meetings

Since MiFIDII came into effect in 2018, it has been a requirement on firms to take reasonable steps to record all telephone calls, and keep a copy of electronic communications, that relate to the activities in financial instruments referred to in SYSC 10A.1.1R(2) (and that are not excluded by SYSC 10A.1.4R), and that are made […]
Compliance
FCA survey – reply dates extended

FCA survey – reply dates extended

We wrote with details of the latest FCA survey. You can read those details here. The FCA has now extended the response dates as indicated below.     “On 19 July 2021, we sent the below e-mail informing you of our plans to issue a Covid-19 Impact Survey to firms in Tranche 1 for a […]
Compliance
Sustainable investing – a wild frontier?

Sustainable investing – a wild frontier?

We have written before about ‘ethical’ or ‘sustainable’ investing, most recently here, in recognition of the increasing presence of and interest in ESG funds. The rules that were to have been implemented this year, requiring advisers to consider clients’ sustainable investment preferences, did not materialise as a result of the UK withdrawal from the EU. […]
Compliance
Pension transfer advice – personalised charges

Pension transfer advice – personalised charges

“I’ve started so I’ll finish …”.  A well known catchphrase first coined by Magnus Magnusson, the original presenter of the BBC’s long running Mastermind show and continued by his successor, John Humphreys. The FCA seemed to pick up on the concept in the pension transfer rules that came into force in April 2018. If the […]
Compliance
FCA Covid-19 Survey #5

FCA Covid-19 Survey #5

The FCA has advised; 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 this out to a further 9,500 firms in 21 portfolios (Tranche 2) at the beginning of August 2020. […]
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.