Governance & Regulation

Governance and Regulation 

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

Regulatory Oversight Board
The Regulatory Oversight Board oversees the performance of Attivo’s subsidiaries against their many regulatory and legal obligations and is attended by all members of the Board, along with other 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 market. Attivo operates 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, provider reputation, and financial strength. The Proposition Committee is responsible for maintaining a list of these products and solutions and research is carried out on an ongoing basis.

Company information

Attivo Group Limited (Reg No. 05547209) includes Attivo Financial Limited (Reg. No. 06789067),  Attivo Financial Services Limited (Reg No. 05927588), Attivo Financial Planning Limited (Reg. No. 05747914) and Attivo Private Clients Limited (Reg No. 13249033).

Attivo Financial Planning Ltd is an appointed representative of Attivo Financial Services Ltd (FRN 462105), which is authorised and regulated by the Financial Conduct Authority.

All companies are wholly owned subsidiaries of Attivo Group Ltd, registered in England and Wales and share the Registered Office: Honeybourne Place, Jessop Avenue, Cheltenham, GL50 3SH.

The Attivo family of firms also includes The Finance Roome Ltd (CRN 05901651) trading as Attivo Mortgage and Protection, which is authorised and regulated by the Financial Conduct Authority (FRN 745454) (ICO: Z9579495). It shares the same registered office as the Attivo Group: Honeybourne Place, Jessop Avenue, Cheltenham, GL50 3SH.

Crowe are the appointed auditors of Attivo Group Limited and its subsidiaries.