What We Do
Complaints Management
From evaluation of the complaint to final response and beyond, we can take care of every aspect of the process.
Regulatory Consultancy
Our specialist support assists leaders by providing intelligent, intuitive and pragmatic advice, assuring our clients bespoke advice to manage their regulatory obligations.
Redress for your Clients
Solution Claims, our claims management service, is designed exclusively for regulated professionals to refer their customers so we can get the redress they deserve.
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 feedback 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.
Download Our 5 Golden Rules To Complaint Handing
Regulatory Consultancy
Our specialist support assists leaders by providing intelligent, intuitive and pragmatic advice, assuring our clients bespoke advice to manage their regulatory obligations.
We can advise on and deliver a range of compliance support, focussed on:
- FCA Enforcement | Investigations | Data Requests
- Past Business Reviews
- System & Control Reviews
- Risk Assessments
- Customer Remediation Plans and Mass Communication
- Professional Indemnity Insurance
- Training
- Mentoring
Redress for your clients
In the normal course of business, trusted advisers will come across a client where they have made an investment with another firm. Occasionally, these investments have been mis-sold. However, unless a firm has the prerequisite permission from the FCA (the regulator of financial claims in the UK since April 2019) they are expressly forbidden from handling a claim on behalf of a customer.
We don’t expect you to rush to find the nearest Claims Management Company … they are no friends of the financial services industry (nor us) … but there is a solution.
Working with the financial services community
Solution Claims, our claims management service, is designed exclusively for regulated professionals to refer their customers so we can get the redress they deserve.
We work exclusively with the financial services community to assist advisers to get redress for their clients … we don’t chase ambulances.
Unlike many other consultancies in this field, we are headed by industry experts who have held senior executive positions (SMCR) including Chief Executive, Chairman, Compliance Director, Head Counsel as well as customer facing roles including IFA, Investment Manager, Derivatives Trader and Stockbroker.
We won’t pursue a complaint for the sake of it but where your client has clearly been mis sold, we are here to help.
- No win / No fee
- Low Rates
