Regulation Matters Brochure January 2019

January 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

HANDBOOK NOTICE 60

All Firms

Impacts the renewal of professional indemnity insurance from June 2019

Engage at an early stage with your insurers

SM&CR

All Firms

Plans to support you implement this next regulatory change

Review relevant FCA policy statements and guidance

FG18/5

All Firms

FCA Guidance on AML has been updated

Review and update your AML practices and controls

PENSIONS COLD CALLING BAN

All Investment Firms

Cold calling ban introduced from 9th January

Good news to share with clients

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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