Our Services
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Reputation Protection
compensate for bad process,
but they can mitigate some
of its worst tendencies"
Richard N.Haass
In this challenging, ever changing environment, many conscientious businesses are attacked through no fault of their own. In our experience, many dangerous and threatening situations arise due to the negligence of an ex-colleague and whilst the responses to claims can sometimes be handled internally, the prevention of recurrent or endemic issues is a specialist function. Of course, not every business can be protected indefinitely, but having us lead and manage on the problems, enables our clients to remain client and profit focussed - whilst we proactively build communication strategies to protect the reputation and good-standing of firms and individuals.
Request your FREE INITIAL CONSULTANCY
& SCOPING by secure conference call
Career Opportunities
it’s what you overcome.
That’s what defines
your career."
Carlton Fisk
Given that our niche service offering majors on consultancy to FCA-regulated firms that have impairment or challenges with the regulator, it has always been imperative that we look to ‘PEOPLE’ solutions as equally as the corporate, business or financial solutions.
We will always offer to support and advise the controllers and staff of any client business and will consider their needs carefully when advising on solutions for the business as a whole.
In some cases, a career move becomes appropriate to all concerned and we have multiple industry contacts looking to expand their advisors, AR firms and Networks.
Compliance Consultancy
is expensive -
try non-compliance"
Former U.S. Dep. Attorney General, Paul McNulty
FCA interventions - liaison and strategy
We find that client firms highly value our work in debunking the sometimes obscure language and intentions behind certain FCA regulatory interventions; assisting in a way that leaves the owners/controllers of regulated businesses in charge of the facts and not blinded by bureaucracy and the perceived threats.
We believe that most major potential problems can be stopped from escalating and be overcome by skilled, timely solutions, involving strategic planning and communication with the regulator - throughout the process. Optimum results are achieved when we are engaged in conversation as soon as a problem is identified.
Examples of our successful consulting support:
- Draft of responses to FCA, after challenge to the legitimacy of wording on a firm’s website
- Direction on the content of data and commercial agreements in a buy-out scenario
- Strategic wind-up of a firm whilst protecting the careers of stakeholders
- Advice to both firms in a strategic alignment project involving data-sharing and cross-introductions
- Preparation of full written responses to an FCA challenge to a firm’s business model
Request your FREE INITIAL CONSULTANCY
& SCOPING by secure conference call
Monetise Client Banks
future is to create it"
Peter Drucker
Sell client bank
Whatever the circumstances surrounding a sale of client relationships (‘servicing rights’), the financials will always take precedent. It is natural that a practice or practitioner will want to monetise a client-asset disposal at its highest value.
Where our unique expertise applies, is when a sale coincides with regulatory stress, EG, under ‘Asset Restrictions’, in Insolvency, or where a part of the clients have impaired investment arrangements.
There are rarely circumstances that exist where we cannot offer a viable solution.
Selling your Business
as your mind is open"
Rick Wilkins
Planning the sale of your business to maximise the return
"I sold my client bank to another IFA I know locally"- is a situation that we have all heard many times before - it is also a lost opportunity to secure the best price and outcome for clients. Our knowledge and relationships with a wide variety of directly authorised firms (looking to expand their client banks) puts us in a unique position to advise timely opportunities and ensure optimum results.
Firms will have a number of impaired investments that sit within a section of client portfolios; resulting in relatively little, or no value within the overall client bank . However, based on a successful model, recently developed - we take a different view. If you have impaired investments within your client bank - we offer a free initial consultation.
Request your FREE INITIAL CONSULTANCY
& SCOPING by secure conference call
Approaching Insolvency
you have to give up
what weighs you down"
Roy T. Bennett
Cessation of Trading, Insolvency & FCA Supervision
Where a regulated business cannot be saved, whether due to internal dispute, FCA sanction or other financial stresses, our acumen is focussed on providing an “Orderly” wind-up of the firm and protecting the reputations and good-standing of authorised persons, by providing and/or managing high quality communication with the regulator.
We have met many ex-controllers who look back and can see that their journey, handled differently, would have left them with many, better options for the future.