What We Do

Outsourced Complaints Management

From evaluation of the complaint to Final Response and beyond, we can take care of every aspect of the process. Supporting your compliance officer or customer team, we assess the complaint and feed back our recommendations to management. 

Our service will ensure your firm takes a pragmatic approach to dispute resolution whilst helping you to maintain compliance with complaint handling rules.

Research shows that there are many failures in managing a complaint that can give rise to a fine from the regulator. Equally, it is imperative to communicate and secure support from your professional indemnity insurer which we can facilitate for you.

Redress for your clients

In the normal course of your business you will come across a client where they have made an investment with another firm. Occasionally, you may consider that the investment has been mis-sold. However, unless you have the prerequisite permission from the FCA (the regulator of financial claims in the UK since April 2019) you are expressly forbidden form handling a claim on behalf of a customer.

Solution Claims, our claims management service, is designed exclusively for regulated professionals to refer their customers so we can get the redress they deserve. 

Consulting

We also provide compliance advice to firms looking to become authorised, manage the execution of the compliance monitoring programme, enforcement and focussed compliance training and mentoring.

Supporting

IFAs | Investment Managers | Stockbrokers | CFD Brokers | SIPP Providers | Mortgage Brokers | F&O Traders | EIS & VCT Providers | Security Trustees | Pension Advisers | Wealth Managers | Insurance Brokers