Sesame

Compliance

 

Whether you specialise or provide a holistic financial planning service, Sesame’s team of experienced Compliance specialists can provide expert regulatory guidance across all product areas - available remotely or face to face.

 

​How can we help?

  • Highly skilled and experienced field and desk based compliance specialists Supervision visits and one-to-one guidance where necessary
  • Customer Outcome Review team review and provide timely feedback to help keep your suitability reports in good shape
  • Compliance help desk manned by people with in-depth compliance knowledge
  • New recruits Applications Team to fully support you through the applications and referencing processes
  • Regular forums with field compliance specialists and key Sesame experts, exploring current regulatory issues
  • Online compliance manuals with detailed guidance on the FCA’s requirements and step-by-step guides
  • Regular email communications keeping you up to date with the latest compliance news
  • An online Client Agreement tool to help you fulfil your disclosure requirements

Plus much more…

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