At Tenet Compliance Services we provide an extensive range of compliance support which is designed to keep directly authorised financial adviser firms abreast of regulatory developments and provide clear guidance and quality solutions to help you meet the FCA’s requirements.

We are experts at providing directly authorised firms with a helping hand and reassurance.  We can offer support from guidance, file reviews, regulatory due diligence to business development services such as marketing and our events programme.

• Client Assets
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• Contract Services/Interim Locum Support
• Data Security/Protection
• Documentation
• Financial Crime /AML
• Governance
• Regulatory Returns
• Regulatory Updates
• Skilled Persons Review Support

• Building Societies/Friendly Societies
• Discretionary Fund Managers
• Funeral Planning
• General Insurance
• IFAs
• Investment Managers
• Lead Generation Firms
• Mortgage Brokers/Lenders
• Pension Scheme Operators/Providers
• Restricted Financial Advisers
• Stockbrokers