Regulation Matters brochure February 2019

February 2019

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 / for your information?

Subject

OCCASIONAL PAPER 47 Firms using social media

An FCA think piece covering the growth of social media usage by financial services firms Key areas likely to be included in a FCA visit focusing on Financial Crime systems and controls

Review use of social media in your firm and any changes to your policy and practice. Carry out your self- assessment, looking at these areas.

PREPARING FOR AN AML AUDIT

All firms

MIFID II, PENSIONS AND CP19/5

Investment firms

The current position on pensions and future developments

Respond to CP19/5

POLICY STATEMENT 19/1 – RETIREMENT OUTCOMES REVIEW: FEEDBACK ON CP18/17

Investment firms

Policy changes principally impacting product providers and will influence the information they provide to consumers

For your information but you should familiarise yourselves with the new illustrations and statements from providers

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.

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