Regulation Matters Brochure January 2019

2 | Regulation Matters - January 2019

Handbook Notice 60

AT A GLANCE As a result of changes made in this Handbook Notice, you will need to review the provisions within your professional indemnity insurance (PII) to ensure the requirements are met from renewals due after 1st June 2019. Other changes remind firms of the change of approach regarding regular premium PPI complaints.

Want to know more? CLICK HERE (or turn to page 5) for a more detailed summary, including recommended actions.

Senior Managers and Certification Regime (SM&CR) AT A GLANCE We will shortly publish our guide to SM&CR that should help firms gain an appreciation of the impact and the material available from the FCA, to help them understand the process and the requirements. If you would like access to this guide, please contact 0800 085 0825 for further information on the additional services available to directly authorised firms. The deadline for the first phase of implementation is 9th December 2019, however we recommend you gain an early appreciation of the requirements and start to build your project plan.

Want to know more? CLICK HERE (or turn to page 6) for a more detailed summary, including recommended actions.

DO YOU NEED FURTHER HELP OR SUPPORT? If you have concerns about being compliant, get in touch with TenetSelect, the directly authorised regulatory experts, by calling 0800 085 0825. We have a wide range of services to help your firm, and we would love to have a chat to tell you more. 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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