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FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
Key harms and drivers of harm caused by Appointed Representatives (ARs) and Introducer Appointed Representatives (IARs) that undertake credit broking
FCA Policy Statement on Consumer Credit Product Sales Data Reporting
Avoid these common errors in Asset Management authorisation
'Finfluencers’ charged for promoting unauthorised trading scheme
Shining a Light
"Shining a light on
compliance
"
NOT Report and Run
Speciality
Our speciality is
Compliance
We work with you to design the most appropriate service for your needs
Services
ALL ANGLES COVERED
Hands on compliance
Section 166 and Regulatory Reviews
Audit and Health Checks
Regulatory Visit Preparation
File Checking & Past Business Reviews
reports
Beautiful Reports

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

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Latest News Article
ATEB Compliance is now Thistle Initiatives

Our new website is: www.thistleinitiatives.co.uk and you can keep up to date with all of our usual regulatory and company updates here.

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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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Suitability with Style

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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.

Evolve Business Centre,
Cygnet Way,
Houghton le Spring
DH4 5QY

ATEB Compliance is now Thistle Initiatives

ATEB Compliance is now Thistle Initiatives

Our new website is: www.thistleinitiatives.co.uk and you can keep up to date with all of our usual regulatory and company updates here.
Link
Compliance
Doesn’t time fly?

Doesn’t time fly?

Yes, believe it or not, as this article lands in your inbox it’s six months since Consumer Duty went live.   Time really does fly when you’re having fun (what do you mean, this isn’t fun?) and in another six months from now the second phase of CD, covering closed products, comes into effect. More […]
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Compliance
A happy retirement

A happy retirement

Not, as you may think, an article about problems related to PP switching (watch this space though), but a brief note to wish one of our own all the best for his retirement. After eight years with ATEB, 31 January sees Alistair MacDougall hanging up his financial services boots. Those readers who have been receiving […]
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Compliance
Reviews. What do yours look like?

Reviews. What do yours look like?

Review. It’s a simple word, but depending upon who you speak to, it can have several meanings.   There are several definitions of the word ‘review’. In verb form, the Cambridge Dictionary cites review as: to think or talk about something again, in order to make changes to it or to make a decision about […]
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Compliance
Trending now

Trending now

And trending previously too!     During the past year or so, and in tandem with ATEB becoming part of Thistle Initiatives, we’ve become increasingly involved in due diligence work, mainly working on behalf of firms planning to acquire others and getting under the bonnet of the firms they propose to buy. M&A activity seems […]
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Compliance

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