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?
HANDBOOK NOTICE 60
Impacts the renewal of professional indemnity insurance from June 2019
Engage at an early stage with your insurers
Plans to support you implement this next regulatory change
Review relevant FCA policy statements and guidance
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
A reminder of key regulatory matters and recommended actions
For your information
REGULATORY MATTERS ON THE HORIZON
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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