Writing and checking procedures, reviewing promotions and suitability reports, working with struggling advisers, compliance officers and senior managers, handling crises at firms and regulators and investigating why things happened, coping with complaints and giving expert evidence on compliance standards. These are just a few of the types of compliance problems tackled by the consultancy service. Typical subject areas include

• Treating customers fairly reviews
• Client agreements and initial disclosure documents
• Financial promotions
• Developing products and services
• Drafting or reviewing policy conditions, marketing and other material
• Advice or suitability standards
• Complaints
• Reviews and redrafting of systems and controls and other office procedures
• Expert witness on compliance standards