S01 Introduction & Contents
Introduction to the ATEB Compliance Manual and its key components, plus the full list of sections included...
View Details DownloadS02 Authorisation
What authorisation means, threshold conditions, permissions, controllers, introducing, supervision, register...
View Details DownloadS03 SMCR
Overview, senior managers functions, SYSC, statement of responsibilities, fir & proper, principles,...
View Details DownloadS04 Management SYSC
Overview, principles, FCA supervision, apportionment of responsibilities, product governance, financial...
View Details DownloadS05a Financial Resources
Overview, firm categories, capital resources, PII, accounting, auditing requirements ...
View Details DownloadS05b Financial Resources MIFIDPRU
Overview, rules that apply, MIFIDPRU group composition, risk monitoring and reporting, ICARA, own funds,...
View Details DownloadS06 Training & Competence
Scope, supervisors, significant influence functions, job roles, examinations, failure policy ...
View Details DownloadS07 Complaints
Definition, FOS, handling, eligible complainants, complaints officer, quick resolution of complaints,...
View Details DownloadS08 Reporting & Notifications
Reporting to the FCA, integrated regulatory reporting, reporting systems, RegData, Connect, updating/attesting...
View Details DownloadS09a Client Money - FA Mortgage
Client money requirements for financial advisers and mortgage intermediaries, RMAR and notifications,...
View Details DownloadS09b Client Money - GI
Client money requirements for GI intermediaries, risk transfer, statutory trust client account, non-statutory...
View Details DownloadS09c Client Money - MIFIDPRU
Overview, SNI controlling but not holding client money and assets, Non-SNI holding client money and assets ...
View Details DownloadS10 Stationery & Financial Promotions
Financial promotions overview, specific rules by sector, cold calling, internet and website, stationery,...
View Details DownloadS11 Financial Advisory Sales Process
COBS overview, inducements and gifts, disclosure requirements, client categorisation, sales process,...
View Details DownloadS12 The Consumer Duty (Incorporating TCF)
Overview, what is it, TCF and smaller firms, TCF Review ...
View Details DownloadS13 AML & Prevention of Financial Crime
Introduction and regulations, key objectives, multipartite relationship, SM responsibility, nominated...
View Details DownloadS14 Appointed Representatives
Responsibilities of principal and AR, practical information, contracts, multiple principals, AR and Approved...
View Details Download