File Suitability Reviews
We can provide robust pre and post-sale file suitability reviews in all business areas including Annuities, Investments, Pensions DC & DB, Protection, Mortgage, Equity Release. We will tailor the service to your requirements which may include supporting new to role advisers who will need additional supervision, pre-sale high-risk checks, or normal BAU checks in line with your T&C scheme.
We have attended 100’s of client meetings, carried out research, and prepared suitability reports as well as completing back-office administration. Therefore, it resonates with us that advisers have many plates to spin.
We provide constructive pragmatic feedback to make sure your file tells the full client story with the aim of supporting good customer outcomes and helping protect your business by putting you on a robust footing if a future complaint is made.
Training
- We can offer training on a wide range of subjects
- Advice process development.
- Customer-facing conversational skills
- Defined Benefit Transfer Training
- File completion training
- File Review Approach which includes check the checker
- Bespoke Training Requests.
Due Diligence
The Volume of consolidation has increased in recent years due to dwindling IFA demographics.
We can carry out a bespoke past business review of the prospective client bank and provide you with detailed feedback, giving you a 2nd line of defence.
This can highlight any potential themes or concerns which could indicate the potential for future complaints.
Past Business Review
If there are regulatory concerns over your past business or you suspect a process or product may have led to unintentional poor customer outcomes, we can review your past business from a regulatory perspective and provide feedback and recommendations.
We can also support you in reviewing and fine-tuning your advice process, policies, and business monitoring strategy to protect against the issue happening again.
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