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.

• Advice pre regulatory risk assessment or supervision visit
• Authorisation -FCA
• Client Assets
• Complaints Handling
• Compliance advice
• Compliance Support
• Compliance Training
• Contracting/Interim
• Documentation
• Due Diligence
• Enforcement Action - Financial Services
• Expert Witness - Financial Services
• File Review
• Governance
• Health Checks
• Information Security/Data Protection (GDPR)
• Marketing and Business Development
• Money Laundering/Financial Crime Advice and Reviews
• Pension Reviews
• Regulatory Capital/Solvency
• Regulatory Relationship Management
• Regulatory Returns Assistance
• Regulatory Updates
• Risk Management

• Building Societies
• Collective Investments Funds
• Consumer Credit Providers
• Discretionary Fund Managers
• Fintech / Regtech
• Funeral Planning
• IFA - Financial Institutions
• Institutional Investment Management
• Insurers
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Pension Advisers
• Pension Scheme Operator/Provider
• Private Client Investment Management
• Restricted Financial Advisors
• Retail Investment Management
• SIPP providers
• Third Party Product Providers
• Trade Associations - professional bodies and regulators
• Wrap Platforms