Compliance Support
With nearly 20 years of regulatory experience and running the largest IFA network in the UK, Sesame understands the pressures you're facing today in directly regulated businesses - we have to - we bear the same risks as you do.
We keep you regularly updated on our analysis of the lessons to be learned from the FSA’s thematic investigations and enforcement cases; as well as guidance on newly emerging regulatory and compliance risks. Take a look at the range of services we offer:
Compliance visits
You decide how best to use this time. Here are just a few of the ways we can help you:
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Training and competence/supervision audit
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Systems and controls audit
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TCF planning
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Client file checks for suitability
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Advice on establishing your own client file monitoring programme
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RMAR completion
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Assistance with FSA visits – we can visit you beforehand to help you prepare and we can accompany you when the FSA visits your firm.
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Data security checks
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Supervisor or GI administrator training
Compliance Help Desk
Telephone-based advice and guidance on the compliance issues affecting directly authorised adviser firms. Our specialist team are able to provide assistance on the issues covered within our compliance guidance materials.
File reviews
With the FSA driving for better standards and small firms pressurised to get independent checks, our remote service gives you the confidence to know your business is being looked over by a business with extensive regulatory experience.
Complaint Handling
It's difficult to remain independent when your advice is being questioned. Our extensive experience with the FSA and the Financial Ombudsman Service allow us to do this for you... and we can deal with the difficult process of calculating any redress due.
Financial Promotions
This can be a minefield of rules and regulations. Send them to us and we can have you up and running with stationery, advertising and websites - hassle free.
Disclosure Documentation Review
Firms have a number of options open to them when it comes to meeting the FSA's disclosure requirements for investment business. Send your disclosure documents to us and using our experience and knowledge, we can assess them again the FSA's disclosure rules and guidance.
TCF Planning Tool
An interactive online tool to help you analyse your business and ensure that you adhere to the principles set out by the FSA. Find Out More
Fully comprehensive regulatory guidance, including;
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Designated investments, Mortgage, Insurance and equity release sales processes
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Money laundering
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Training and competence
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Financial promotions (advertising)
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Systems and controls and other relevant parts of the FSA’s handbook.
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'How To' guides for specific regulatory processes
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Factfinds and supplementary questionnaires covering all types of advice scenarios
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Client file assessment forms
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Disclosure document templates
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Example fee agreements, introducer agreements and data protection statements
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VOI forms for money laundering checks
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Supervision/T&C templates covering training needs analysis, action plans, one-to-one meetings, adviser observations, KPI reviews etc
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Template registers such as: advertising, complaints, breaches