No one can offer you more compliance help and reassurance than TenetSelect 
Compliance services
Everything you need to keep the regulator happy
Keeping the Regulator happy can be one of the most time-consuming aspects to giving financial advice. Audits, TCF, reams of paperwork - all can be a burden and take up your valuable time.
No-one can offer you more compliance help and reassurance than TenetSelect. We have built a first class reputation for quality regulatory support for Directly Authorised advisers who want to reduce their regulatory risk. Through our industry expertise we are able to interpret what the Regulator wants, keep abreast of any changes in regulation and deliver flexible solutions to help you respond. And, if you need on-site help with audits or FSA visits then we can do that also.
Our range of compliance services include:
- Compliance audits
- TCF toolkit, audit, action plan and on-going support
- A full suite of latest compliance documentation
- Unlimited compliance helpdesk support via phone, email or fax
- Complete Training & Competence Scheme
- Assistance with completion of FSA Forms - including assistance in transferring existing agencies
- Product research and justification
- GABRIEL system with RMAR support/completion
- File reviews: onsite and offsite file checking
- Supervisor training
- Recruitment referencing/processing
- Complaints handling
- Due Diligence audit day
- Commission service, including collection, reconciliation and payments
- Complete RDR guidance & support - read more
- Total compliance outsource service - read more
- Suitability letters
- Appraisal of financial promotions, stationery and websites
- Staff compliance training days, from the basics to the advanced
- T&C supervision of your advisers, freeing up your time. We'll tailor this advice to suit your needs and can include, one-to-ones, training needs analysis, KPI reviews, role plays and observations.
- Regular compliance updates to keep you informed on important changes in the industry, and we provide timely FSA and market updates on issues that affect you.
Professional indemnity insurance
We have negotiated a unique, discounted PII deal for clients buying compliance support from us. This includes tailored underwriting, meaning the price you pay is totally applicable to your business.
