Selected Issue 6 - Summer 2019


The Helpdesk Team (Zoe Warrington absent)

Meet the Compliance Helpdesk Team

The Compliance Helpdesk is a front-line support service for advisers and firms, offering guidance on key issues including regulatory change. We look to offer detailed advice to queries raised via telephone or email, allowing advisers to deliver the best possible service to their client. A selection of the services that we offer are: • Support in the understanding and implementation of regulatory change, such as Passporting, MiFID II, and RDR. We have also provided guidance on forthcoming change including SM&CR and Brexit. • Full approval process of new websites as well as support for content changes on existing sites. We also undertake a continual review of our excellent off-the-shelf Tenet package, which advisers can use to build their own website using pre-approved content and layout. • Assessment of Social Media posts across all platforms. It is important that all posts promoting the services are reviewed before posting, so that we can be sure your business avoids using non-compliant content.

• Content-checking of branded stationery, including letterheads, business cards, and email footers. • We offer a large number of templates and working examples of key documents, including the IISD and Client Agreements. • Support in completion of the Retail Mediation Activities Return (RMAR), either via our bespoke software or through manual completion of the return. The Compliance Helpdesk team work closely with your dedicated Regulatory Consultant to ensure you receive the best possible support. Whilst your Consultant will guide you through the audit process, and carry out on-site visits to provide face-to-face interaction, the Compliance Helpdesk is your point of contact for any regulatory questions, compliance queries, or requests to review financial promotions or stationery. Queries are answered within clear timescales which are regularly reviewed to ensure suitability. Let’s introduce you to the members of the team...

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