Our service experience

Compliance guidance

At Securitor, we believe that a successful compliance program is one that facilitates a smooth integration of compliance into everyday business. That’s why we take a consultative approach, basing our compliance service on a high level of understanding of your needs and business processes, and encouraging your feedback.

Compliance plays an all-important role in protecting the solid reputation of your brand and we can help ease the pressure. With Securitor as your licensee, you get the support of our compliance experts, who work with you to determine what you may need to do to stay compliant.

With legislation in the financial planning industry constantly changing, you can have confidence in our guidance. We translate up–to–date compliance facts into practical applications for your business. Our team will also represent your interests at the respective investment committees, and will develop, maintain and communicate policy and support tools.

• Local Compliance Manager – available to answer queries specific to your practice
• Online compliance manual – logically presented, easily accessible information
• Compliance workshops – as part of our PD program, in response to changing regulations
• Valuable resources – from SoA advice document templates to clear guidance on specific products