Regulatory Updates

Blog categorized as Regulatory Updates

Time to talk money: the cost-of-living crisis is increasing financial secrecy among families – M&G Wealth report   

M&G Wealth shares their Wealth Report, as part of Tenet Compliance Services Professional Development Programme. 

At a time when financial pres...

05.12.23 03:30 PM - Comment(s)
What does 2024 hold for advisers?
Our panel of experts will discuss the opportunities and challenges for the upcoming year that will impact advisers.
01.11.23 11:22 AM - Comment(s)
Budget 2021
Following the Chancellor’s Budget update on 3rd March, Jo Rigby, Tenet’s Technical Director summarises the key updates from Rishi Sunak’s statement.
10.03.21 11:46 AM - Comment(s)
Defined Benefit (DB) Transfers Advice Support
The FCA has published the DB advice assessment tool they used to conduct their recent pension transfer reviews, and recommends firms use it to understand how suitability should be assessed in this area of high regulatory scrutiny.
09.02.21 02:54 PM - Comment(s)
Regulation in focus - the first six months of 2021
2021 is scheduled to be busy on the regulatory front. Let's see what's coming down the track for financial advice firms
09.02.21 01:57 PM - Comment(s)
Ongoing Reviews
In our recent Regulatory Update covering the FCA’s evaluation of the Retail Distribution Review (RDR) and the Financial Advice Market Review (FAMR) we touched on the issue of ongoing advice fees.
21.01.21 01:53 PM - Comment(s)
Dear CEO Letter to Mortgage Intermediaries
The FCA has published a 'Dear CEO letter' to firms in its mortgage intermediaries portfolio. We disect what it means for you
17.12.20 01:42 PM - Comment(s)
Equity Release - Take Action to Meet FCA Expectations
Lifetime mortgages represent a significant opportunity for advisers. Read about how you can take advantage while remaining compliant.
17.12.20 01:37 PM - Comment(s)
Looking at the Mortgage Market Study
TenetLime Managing Director and AMI Board member, Simon Broadley, shares his thoughts on the most significant changes that the FCA’s Mortgage Market Study could bring for brokers.
22.02.20 02:11 PM - Comment(s)
What does the SMCR mean for directly authorised firms?
The Senior Managers & Certification Regime (SMCR) will come into force for directly authorised advisory firms on 9th December 2019, but what does this actually mean for firms? Gillian Weatherill, Tenet's Head of Risk & Policy, outlines some key areas that firms will need to consider.
25.03.19 02:16 PM - Comment(s)
Insurance Distribution Directive: 5 things you need to know
The IDD comes into effect from 1st October 2018 and applies to all businesses involved in the insurance supply chain. In this blog, our Head of Policy, Simon Thomas, outlines five key changes that advisory firms need to be aware of.
21.08.18 01:04 PM - Comment(s)