Frequently Asked Questions

Wealth managers, IFA firms, national advice networks and their Appointed Representatives, SIPP operators and platforms. Our clients are usually Compliance Directors, Chief Risk Officers, Heads of Operations and SMF holders.

No. We are a compliance consultancy that supports regulated firms. We don't provide regulated financial advice to individuals.

Yes. Many engagements involve adding senior QA capacity, calibrating internal reviewers or taking on the most technically complex files, while your team keeps ownership of the wider programme.

Yes. We support firms preparing for or responding to a Section 166 requirement, and we provide senior reviewer and QA capacity on past-business review programmes.

With a confidential, no-obligation conversation about what's prompting the review. We then propose a scope, methodology, timeline and fee for you to agree before any work begins.

It depends on volume and complexity. A targeted sample of advice files can often be completed in a few weeks, while a past-business review of a full client book is planned in phases. We'll give you a realistic timetable at the scoping stage.

Yes. We can review the file, prepare or strengthen your submission, respond to an investigator's view and check any redress calculation.

Clear, evidenced findings: file-level determinations, a summary report with root-cause analysis, and practical recommendations. Where needed, we also provide redress calculations and board-ready MI.

Engagements are priced on a fixed-fee or day-rate basis depending on scope, agreed in writing before work begins.

All enquiries and engagements are handled under strict confidentiality and in line with the Data Protection Act 2018 and UK GDPR. We're happy to sign a non-disclosure agreement before receiving any files.

We're UK-based and work remotely with firms across the country, attending on site where an engagement needs it.