Connected 72 - Summer 2019


The Helpdesk Team (Zoe Warrington absent)

Meet the Compliance Helpdesk Team

The Compliance Helpdesk is a front- line support network 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, checking against policy for content and image suitability. 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. We also sense-check your fees, ensuring they are clearly set out and in line with our fair fees policy. • Hand-holding of new firms during the authorisation process, providing telephone support for the creation of new documents, as well as offering guidance to ensure they can start capturing new business as soon as possible. Let’s introduce you to the members of the team...

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