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Opening Doors...to more solutions

 

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Opening Doors...to more solutions! 

Gap Analysis: Quite simply, this involves reviewing how your business currently operates, and how you want it to operate, offering practical solutions to bridge the gap. Whether the focus is on what your suitability letters include, and what the FSA want them to include, or simply whether a financial promotion is compliant or not, we can help.

Risk Assessment/Management: For any business to work effectively, risk - of complaints, financial loss, law suits or regulatory non-compliance etc... - must be balanced against commercial reality. It is here that we, with in depth knowledge of financial services law, in particular, superb research skills, and commercial awareness of our clients' business needs, can help firms streamline internal processes, and increase productivity whilst mitigating operational risk.

Teaching: We are committed to teaching our clients the skills with which to identify more subtle risks, and how to mitigate them. This is instrumental because it enables a firm to reduce its reliance on us, if budget requires, albeit safe in the knowledge that they have the same level of protection.

ADR: Alternative Dispute Resolution refers to a body of dispute resolution processes designed to avoid litigation and its confines, but enable parties to achieve similar results, with greater speed and less cost.

Early Neutral Evaluation: A preliminary, non-binding, review of facts, evidence or legal merits, by one of our independent team, on whether a complaint is likely to succeed at FOS, or in court. Our unbiased evaluation offers risk based analysis to help parties decide whether it is cost effective to continue to the next stage of dispute resolution, or settle.

Mediation: A flexible process in which a neutral person pro-actively assists parties to work towards the negotiated agreement of a dispute where the parties control the decision to settle and the terms by which they resolve the problem.

Independent Intervention: Involves using an impartial third party to facilitate negotiations, discussions, problem-solving, in-house relationship building, avoidance of potential difficulties and management of existing problems in any number of situations.