Consultancy Services

Bespoke support from the experts, whenever you need it 

FCA Authorisation 

If you're an appointed representative wanting to go directly authorised, or a new business, we can support you through the authorisation process. We'll give you a dedicated consultant to make sure the transition is as smooth and painless as possible, removing the hassle and uncertainty. 

​Tenet Research Support

Navigate increasing risk, complexities and FCA scrutiny with the Tenet Research Hub. Our packages give you access to a comprehensive range of specialist support. 

  • Centralised Investment Propositions (CIP) - consultancy and research assistance in the creation of CIP/CRP. Or, a full review of your current research processes and ways to improve
  • Provider Due Diligence - comprehensive due diligence reviews giving you the information and reassurance you need to give you peace of mind regarding your provider
  • Equity Release Package - addresses increasing regulatory focus and associated risk including panel methodology & research, provider due diligence, product target market, panel and client understanding questionnaire 
  • Panel Consultancy - we develop a methodology specific to your needs and assess products against this to create your own bespoke panel. Reviewed and updated annually to make sure you're up-to-date with all new suitable products

Panel Research Package 

Providing detailed information on areas including panel research, target markets and panel decisions. Available across many product types, with a 10% discount when 5 panels or more are needed. 

  • Structured products  - structured capital at risk, structured deposit
  • Protection - Life, CIC, family income benefit, income protection, gift inter vivos, relevant life
  • Pension - personal pension, drawdown, SIPP, stakeholder
  • Investment bonds - onshore & offshore bonds
Other Packages
  • Platform Package - due diligence on active markets including platforms, charging comparisons and target market
  • ESG Package - quickly and effectively review new funds and portfolios entering the market
  • DFM MPS Package - we'll research DFM MPS propositions so you don't have to

​Compliance Support

Get confidence that you're meeting regulatory expectations. All our compliance support is geared towards directly authorised firms. Ultimately you’re in the driving seat, we’re just helping get you where you need to go with the right facts to make informed decisions. 

Compliance helpdesk

Our helpdesk is on hand to give you assurance to move forward with confidence. Our experienced and qualified helpdesk advisers will help you get the answers to your compliance or regulatory questions quickly. We’ll be your compliance sounding board to give you clarity on FCA regulations, changes in regulations and what you should be doing in response.

Here’s just some of the areas we commonly help with:

  • Advice suitability 

  • Pensions compliance & technical queries 

  • Overseas clients 

  • RMAR support via RegData

  • AML & combatting the financing of terrorism 

  • REP008: Conduct rules reporting for solo-regulated firms

Business Risk Assessments

Our risk assessments are conducted by your dedicated regulatory consultant to give you peace of mind your business is operating compliantly. You’ll get a report identifying any areas of concern and provide recommendations on how to mitigate and manage those risks.

We’ll focus your assessments on the key areas of risk for businesses like yours or we can do thematic ones based on your specific concerns/the regulatory agenda.

One-size-fits-all suits nobody. That’s why we give you choice: 

  • Risk area - thematic or periodic (SYSC, T&C, SMCR)
  • Delivery - remote or face-to-face
  • Format - workshop or audit

Financial Promotions

Financial promotions can be fraught with risk. Get peace of mind that your promotions are fair, clear and not misleading by checking them with our compliance team. We’ll check your website, brochures, business stationery, social media and anything else of a promotional nature comply with the FCA’s financial promotions rules. 

For example, we’ll look at:

  • Whether the right risk warnings are there
  • Are risk warnings sufficiently prominent
  • Whether the advertised claims are fair
  • Whether the claims can be substantiated

Compliance Resources

Save time and have confidence in your compliance with documentation, guidance and templates ready-made and available to use in your business. Everything is accessible from the Tenet Extranet, an online portal stuffed full of resources for directly authorised businesses.  

  • Agreements for clients, fees, introducers and disclosures

  • SMCR resources & RMAR guidance

  • Checklists for SIPPs, pension switching and platforms

  • Plans and reports for systems and controls and disaster recovery

  • Suitability reports, fact finds, statements of demands and needs and example risk warnings

  • A complete compliance manual, plus important themes underpinning the running of your firm

​File Reviews

Whatever proportion of business you need checking, we’re on hand to give you the certainty of an unbiased and pragmatic file review. 

We have your best interests at the heart and make it our business to help you make sure you’re protected from future risk. We know you need the certainty of meeting FCA standards and confidence your files are robust if a complaint is made, so we work with you to make sure your file tells the full story. Furthermore, we know you get the most value from pragmatic reviews, which is why we provide relevant feedback and practical recommendations for remediation if needed.

We also do: 

  • Large populations – we’ve experience of reviewing larger populations if you need to conduct a past business review, acquisition due diligence or have a backlog of cases.
  • Trends detection – if we’re reviewing many cases for you across the year we can create interactive dashboards that will enable you to detect trends.
  • Remedial work – we can complete remedial work for you if you don’t have the capacity or expertise inhouse.

​Acquisition Due Diligence

You can only make the right decision when you trust the facts you have. Our due diligence reviews include a 'cover-all package' suitable for most purchases, as well as more enhanced options for more complicated or in-depth reviews. 

We'll also check that the prospective firm is right for you in terms of culture and values and provide post-acquisition support if required.  

We cover everything you need, including: 

  • Governance & SMCR
  • Regulatory reporting and FCA capital adequacy calculations
  • PII policy review
  • Complaints & breaches 
  • Compliance monitoring plan & results 
  • AML & data protection
  • Conflicts of interest 
  • File quality & review

​Recruitment Consultancy

Tenet provides a competitively priced, stress-free recruitment service. Our team of experienced financial recruiters will advise and manage every stage of your recruitment process – ensuring you quickly and affordably find the very best candidates.  

You'll get:

  • Professional, SEO-enhanced adverts ensuring you reach your target audience
  • Guidance on creating role profiles, interview techniques, salary benchmarking and market insight
  • In-depth vetting process ensures you only see the very best, most suitable applicants, saving you valuable time and effort
  • Candidate headhunting based on your specific needs

Ready to get going?

Then let's get started. For detailed services and pricing information get in touch: