10 Oct ATEB Compliance
ATEB is one of the few compliance consultancies that undertakes Conduct of Business Skilled Persons (Section 166) reviews on behalf of the FCA.
We cover the whole of the UK with regionally based consultants and offer an industry leading Suitability Report writing system.
We are experts in the Defined Benefit Pension Transfer sector. Check out our News page here for an example of the depth and detail in our newsletters https://news.ateb-group.co.uk/
We are one of the earliest compliance consultancies, founded in 1996 to plug a gap in the market. Since then, we have provided pragmatic and hands-on support to IFAs, mortgage brokers, general insurance intermediaries, credit brokers, debt management companies, lenders and chartered surveyors. We have long standing and loyal clients and a good relationship with the FCA.
We do not simply provide resources and let you get on with it (what we call 'Report and Run' consultancy) but work with you as part of the team to implement solutions. Every year, our consultants complete around 1000 client visits.
Although we may introduce you to third party professionals, for example for PI insurance, we do not receive any form of inducement and hence provide a completely unbiased, objective and independent service, focussing solely on your needs.
We pride ourselves on the quality of service provided and have a proven track record of delivering consistently high standards. Don't just take our word for it; see for yourselves what our clients say on our website.
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Complaints Handling
- Compliance Advice
- Compliance Support
- Compliance Training
- Due Diligence
- Enforcement Action - Financial Services
- EU / International Compliance
- Expert Witness - Financial Services
- File Reviews and/or Monitoring
- Health Checks
- Mis-selling reviews
- Money Laundering / Financial Crime
- Pension Reviews
- Regulatory Capital / Solvency
- Regulatory Relationship Management
- Regulatory Returns
- Regulatory Updates
- Risk Management
- Skilled person panel
- Skilled Person Panel - Conduct of business
- Authorised Professional Persons
- Claims Management Companies
- Collective Investments Funds
- Consumer Credit Providers
- Discretionary Fund Managers
- IFA - Financial Institutions
- IFA's - Wealth Managers
- Institutional Investment Management
- Insurance Brokers - General
- Mortgage Brokers
- Pension Advisers
- Pension Scheme Operator/Provider
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Secondary Intermediaries
- SIPP providers
- Third Party Product Providers
- Wrap Platforms