We are a specialist consultancy assisting FCA firms manage customer relations, regulatory engagement and deliver redress solutions, our focus is delivering our expertise with a pragmatic and commercial touch.
Our management team have worked in financial services in senior roles across the industry in roles which include SMCR positions including Compliance Officer, Chief Executive, Chairman and Legal Counsel along with customer facing functions such as IFA, Investment Manager, Derivatives Trader and Stockbroker.
We understand both the regulatory landscape and the claims management environment and how the increase of enforcement intervention and customer litigation can impact on a firm.
Complaints, which are often speculative, are distracting and damaging to any business in terms of time costs, potential redress, impact on professional indemnity premiums and reputational damage with customers and the regulator. Failure to address complaints properly can impact customer retention and open up the firm to regulatory intervention.
We have experience at all levels of complaints and regulatory engagement from the low consequence and simple, to high impact and complex. Our directors have successfully managed complaints internally, Ombudsman investigations and civil claims.
The firm is headed by John Bull and Tim Jenkins.