Case Studies Archives - Square4

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

07/04/2023

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

Scenario: To support our client’s transition to, and compliance with the Consumer Duty, the bank …

Categories

London Financial Services

05/03/2025

Turning Compliance into a Competitive Edge: A Motor Finance Firm’s FCA Journey through the FCA BiFD Project and s166 Notice

Scenario: Our client, a leading motor finance firm, was included in the Financial Conduct Authority …

12/08/2024

Suitability Assessments for a later life lending advice firm

Scenario: A retirement later life lending advice firm engaged Square 4 to undertake some suitability …

05/12/2023

Regulatory due diligence was undertaken before acquiring a London-based Wealth Management Target, which provided pension advice and investment management services to high-net-worth retail clients.

Scenario: A Wealth Management aggregator engaged us to undertake regulatory due diligence on a Target …

car

26/09/2023

Deploying Motor Insurance Complaint Handlers to one of the UK’s Largest Motor Insurers

Scenario: Due to poor winter weather conditions in the UK last year, and the subsequent …

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

07/04/2023

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

Scenario: To support our client’s transition to, and compliance with the Consumer Duty, the bank …

resourcing

01/04/2023

Supporting a UK Bank with Increased Complaints Capacity

Scenario: Following exceptional growth, the business needed to upscale its complaint operations quickly following a …

Compliance Monitoring Plan

08/01/2023

Retained compliance support to a retail advice firm, undertaking monitoring and testing aligned to their Compliance Monitoring Plan

Scenario: A retail advice firm sought our support to strengthen its second-line monitoring aligned to …

case study

By Zein Al-Bader - Managing Director | 02/01/2023

Training 3,000 customer-facing employees on first-point-of-contact complaints management for a UK challenger bank

Scenario: As part of our client’s Consumer Duty planning activities, it identified significant challenges and …

FCA

01/03/2022

Supporting a Savings Provider With Customer Service Operatives

Scenario: Due to an increase in Bank of England base rate interest rates observed in …

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