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 Financial Services, the Principal of Sovereign Asset Management, ensures it delivers positive and compliant outcomes to clients.

Regulatory Oversight Board

The Regulatory Oversight Board oversees the performance of Attivo Financial Services’ Appointed Representatives against its 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 Financial Services 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.

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