Operations Archives

Backdrop It will not surprise some that ongoing service propositions are in the regulatory spotlight …

By Tom Jeffery - Operations Director & Mike Scott - Advisory Director | 04/12/2024

Root Cause Analysis – a broader scope required under the Consumer Duty Performing Root Cause …

By Nicky Green - Advisory Director | 13/11/2024

It’s inevitable that there’s a lot of inter-reliance between firms, whether it’s for technology provision, …

By Darren Fisher - Advisory Director, Tracy Auchterlonie - Principal Consultant | 24/10/2024

Ensuring that customers receive adequate protection, especially those in vulnerable circumstances, is a key priority …

By Nicky Green - Advisory Director | 18/10/2024

As we head into the autumn, many firms are working with their auditors to prepare …

By Tom Jeffery (Operations Director) & Darren Fisher (Advisory Director) | 14/08/2024

Good complaint handling has never been a more important part of a firm’s customer support …

By Darren Fisher (Advisory Director) & Tom Jeffery (Advisory Director - Operations & Remediation) | 02/02/2024

In this comprehensive white paper, we provide critical insights to guide firms in supporting their …

By Tom Jeffery - Advisory Director (Operations & Remediation) | 05/04/2023

The UK financial services market is a complex and ever-changing industry, with a wide range …

General Regulation