News & insights

At TFAS Compliance Services, we translate complex regulations into practical actions. Explore our expert articles, industry updates, and guidance to help your firm stay ahead of FCA expectations and strengthen compliance culture.

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88% of advice firms put client outcomes at centre of technology strategy

The findings from TFAS' TechForward programme also showed firms were becoming more proactive in their approach to technology. Read the full article on The Intermediary here.

Oct 5

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Regulation is changing shape - what do advisers need to do about it?

Regulation is changing shape - what do advisers need to about it?

Sep 22

A woman sat down, pointing on to a piece of paper with a pen, held by a man stood up. Both are dressed smartly and in an office environment.

FCA’s scrutiny of Annex 1 firms is ‘intelligence gathering with teeth’

TFAS Compliance Services Managing Director Marjolaine Quirke has called it one of the “clearest tests yet” of the Annex 1 sector’s appetite for compliance. Read Marjolaine’s thoughts in our latest FT Adviser coverage here.

Sep 17

A team of five people are sat around a table with documents and a laptop, they look to be discussing something important.

TFAS releases guidance and staff awareness training for new non-financial misconduct rules

As the new FCA rules and guidance on non-financial misconduct (NFM) come into force today, TFAS Compliance services has issued guidance and staff awareness trading for its member firms.

Sep 1

TFAS launches adviser webinar series ahead of April 2027 IHT reforms

TFAS Compliance Services has launched the next phase of its 2027 Ready Programme, with a month of webinars.

Aug 25

Ever-changing regulation heaps pressure on smaller advisers

The volume of new regulations and publications from the Financial Conduct Authority is putting pressure on advisers, according to Marjolaine Quirke, managing director at TFAS Compliance Services.

Aug 24

Suitability rules overhaul: Why firms should engage now, not later

The Financial Conduct Authority's proposed overhaul of suitability rules is one of the most consequential pieces of policy work in the advice sector this year and yet, for many firms, it's still flying under the radar. Marjolaine Quirke outlines what advisers need to know about the FCA’s proposals to simplify the pensions and investment advice rules. Read the full article in Professional Adviser here.

Aug 19

Key considerations for advisers adopting AI

Richard Ardron, chief commercial officer at TFAS Enterprises, explores what advisers should be looking for when considering adopting AI and how they can demonstrate that their use of AI is well governed.

Aug 6

The Consumer Duty crossroads: Less red tape, more enforcement risk

This year's Consumer Duty reporting cycle marks a 'critical crossroads' in regulation, says Marjolaine Quirke, Managing Director of TFAS Compliance Services. Read the full article in professional Adviser here

Jul 27

All you can eat buffet’ of tech creates ‘decision fatigue’ for advisers

Advice firms are “overwhelmed” with the choice of new technology, but are open to using AI to save time according to the latest insight from TFAS Compliance Services Read full article in FT Adviser here

Jul 17

TFAS launches free Consumer Duty Health Check for advice firms

TFAS Compliance Services has launched a free Consumer Duty Health Check for financial advice firms, timed to coincide with the third anniversary of the regulation coming into force in July 2023. Three years on, TFAS Compliance Services says some firms may be uncertain how robust their evidence base is and with the FCA suggesting that there may be governance gaps in many board reports, they are offering a health check to help quickly identify any remedial actions for firms. Re

Jul 9

IHT on pensions: Why the compliance challenge is bigger than the tax change

The introduction of IHT on pensions from April next year represents a reset for retirement planning, writes Lauren Kiley. From 6 April 2027, unused pension funds and many pension death benefits will be brought into the inheritance tax calculation. For years, defined contribution pensions have sat outside the estate, shaping how clients and advisers approached retirement and intergenerational planning. That assumption is changing. The tax shift matters, but for advice firms th

Jul 8

PruFund is now available on Scottish Widows Platform

This is a significant step forward - making it simpler than ever to include a proven, smoothed multi-asset solution in your clients’ portfolios. See what PruFund could do for your clients - explore the range and get started today. Click here to find out more.

Jul 8

TFAS launches programme to prepare advisers for IHT and pension rule changes

TFAS Compliance Services has announced the launch of its '2027 Ready Programme' - a multi-partner initiative designed to ensure advisers are fully prepared for the most significant changes to inheritance tax (IHT) and pension planning in a generation. Click here to view the full article with Financial Reporter.

Jun 23

TFAS launches adviser technology and AI support programme

TFAS Compliance Services has launched a new industry initiative aimed at helping financial advisers navigate the growing challenges of technology adoption, regulatory change and artificial intelligence (AI). Click below to view the full article with Money Marketing TFAS launches adviser technology and AI support programme

Jun 9