Governance and Regulation

The UK financial services sector is one of the most highly regulated in the world and one of the key objectives of our regulator, the Financial Conduct Authority, is to protect consumers. Through effective governance and oversight, the leadership team at Attivo Financial Planning ensures it delivers positive and compliant outcomes to our clients. Two key components of this are summarised below.

Regulatory Oversight Board

The Regulatory Oversight Board oversees the performance of Attivo Financial Planning against its many regulatory and legal obligations and is attended by all members of the Board, along with other key management staff. Key areas of focus include financial strength, conflicts of interest, the competence and performance of our Financial Planners, complaint handling, risk management, consumer outcomes, security of client information and ensuring that the overall governance framework within the firm is effective and adhered to.

Proposition Committee

As Independent financial planners, we base our advice and financial product recommendations on a comprehensive and fair analysis of the whole of the market. We operate a Proposition  Committee which is tasked with sourcing products and solutions to meet our client needs. Products and solutions are screened and chosen based on a number of variables including technical features, investment options, charges and provider reputation and financial strength.

The Proposition Committee has an ongoing responsibility for maintaining the list of products and solutions. Research is carried out on an ongoing basis on these and other potentially suitable products and solutions. The Proposition Committee’s members include the most senior representatives of our Financial Planning, Compliance, Investment Management and Technical departments.

 

Company information

Attivo Group Limited (Company No. 05547209) includes Attivo Financial Planning Limited (Company No. 05747914) and Attivo Financial Services Limited (Company No. 05927588). Attivo Financial is a trading name of Attivo Financial Services Limited.

All companies in Attivo Group Limited are registered in England and Wales. Registered Office: Jessop House, Jessop Avenue, Cheltenham, GL50 3SH, UK.

Attivo Financial Services Limited (Firm Reference No. 462105) is authorised and regulated by the Financial Conduct Authority and has the required permissions to act as Financial Advisers. Attivo Financial Planning Limited (Firm Reference No. 451967) is an Appointed Representative of Attivo Financial Services Limited.

Davies Mayers Barnett LLP are the appointed auditors of Attivo Group Limited and its subsidiaries.