Regulation Matters Brochure December 2018

December 2018

Regulation Matters

Welcome to this edition of Regulation Matters covering regulatory updates which impact financial advisers. If you have any questions about any of the subject matters and would like further information on the additional service available to support directly authorised firms, please contact 0800 085 0825 .

IN THIS ISSUE

Who is it relevant to? Summary

Action recommended or for your information?

Subject

FCA LIVE AND LOCAL DB TRANSFERS INTERACTIVE WORKSHOP

Firms in the DB Transfer Market

Outline of key points raised

If you are active in this area we recommend you check the FCA’s events page for availability in 2019

SM&CR

All firms

Plans to support you implement this next regulatory change

Review relevant FCA policy statements and guidance

PROD

All investment firms

A summary of product governance under PROD

Review your existing systems and controls documentation

MiFID II

All investment firms

Disclosure of ongoing costs and charges

Are your plans in place for 2019?

REMINDER OF KEY REGULATORY MATTERS

All firms

A reminder of key regulatory matters and recommended actions

For your information

REGULATORY MATTERS ON THE HORIZON

All firms

Overview of FCA planned activity For your information

Regulation Matters is produced by TenetSelect as guidance only and is based on their interpretation, it is not and should not be relied upon as professional or legal advice. TenetSelect does not accept any liability for any losses arising directly or indirectly in connection with any of the information contained within Regulations Matters to the extent it can be excluded by law.

Made with FlippingBook - professional solution for displaying marketing and sales documents online