Governance and Process Review
A recent visit by the FCA had highlighted some governance issues within the pension division, particularly concerning the ability to be able to demonstrate a thorough process driven operating model. Read more here.
Supplier Acquisition Process
Following the FCA’s report on their thematic review of SIPP providers, the company wanted to improve its governance and modus operandi for reviewing overseas introducers. Read more here.
The client had some systems in place for managing volunteers but these were outmoded and inconsistently applied. Read more here.
Global Service Delivery
Following a successful bid to win new business, the global service offering needed a thorough review to ensure it was fit for purpose. Read more here.