One question we think you should be asking is, "How do I know my broker is keeping me compliant?"
Do you have an answer? Did you have to call and ask because you weren't sure if you even have a compliance plan? Did you speak to a person or just an automated robot?
At Saxon, we develop and execute a strategic, custom plan that we like to call “CAP” or Compliance Action Plan. Our dedicated team of compliance agents is here to listen to your real concerns. We develop and execute in a way that will keep things simple, less stressful and benefit you.
With Saxon, you get real agents with real experience and real compliance help when you need it.
How does Saxon engage in the compliance conversation?
We meet with you, learn your needs and develop a CAP - Compliance Action Plan, that's specific to you and your company's needs.
This is where the AIM method comes in. The AIM method is simply an acronym that addresses the three pillars that are critical to a strong compliance strategy.
We Assess … your current situation to ensure you are compliant and discuss challenges and future needs.
We Inform (and educate) … From technology to newsletters to webinars, we put a communication strategy in place to keep you informed of compliance changes, upcoming dates and key compliance needs.
We Manage… A true differentiator. Saxon gives you access to a knowledgeable team of in-house agents that have the capability to leverage the shared knowledge of a nationwide network of compliance and legal professionals to answer all of your questions efficiently and, most importantly, accurately.
