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Our Services

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Business Development

Growing your business

We are in regular contact with insolvency practices throughout the U.K. in order to identify, qualify the value client banks that come onto the market. Our process (including due diligence and data protection at each stage) ensures that the price we help to negotiate - to purchase clients banks on behalf of our directly authorised clients, represents the best possible outcome for all stakeholders.

Mergers, acquisitions & restructuring for regulated businesses, supporting businesses & client-data sales

We offer advice and support in direct consultancy to the principals of regulated businesses, regarding the delicate matters that always arise when a ‘Change of Control’ is presented to the FCA.

Reputations and careers that have taken years to build, can be quickly lost (more so now, than ever before) and what seems to be a straightforward business transaction - can lead to a chain reaction of unfolding major problems, if not carefully handled.

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& SCOPING by secure conference call

Mergers

Mergers, acquisitions & restructuring for regulated businesses, supporting businesses & client-data sales

We offer advice and support in direct consultancy to the principals of regulated businesses, regarding the delicate matters that always arise when a ‘Change of Control’ is presented to the FCA.

Reputations and careers that have taken years to build, can be quickly lost (more so now, than ever before) and what seems to be a straightforward business transaction - can lead to a chain reaction of unfolding major problems, if not carefully handled.

Request your FREE INITIAL CONSULTANCY
& SCOPING by secure conference call

Selling your Business

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 know 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.

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& SCOPING by secure conference call

Compliance Consultancy

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

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& SCOPING by secure conference call

Reputation Protection

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 key partner in place to deal with problems that arise, enables our clients to remain focused on their day-to-day core activity - whilst we focus on response strategies to deal with claims and protecting the reputation/ careers of your team.

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& SCOPING by secure conference call

Career Protection

Directors, Sole Traders and CF30s

In circumstances where a business cannot be saved, there is often no need for its controllers, RIs or ARs to be detrimentally affected in the process if the correct plans are put in place. Pre-emptive, concise actions, following careful strategic planning, are critical to achieve the desired end result.

Once the correct actions of an impaired firm are agreed and implemented, the connected individuals should look carefully at the options available to them. "Where are you know and where do you want to be" is the first question we ask in the planning process. Discussing all options and advising timely opportunities.

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& SCOPING by secure conference call

Complaints & Claims

As with regulatory interventions, "a problem shared is often a problem halved". Complaints and claims against a firm could result in PI withdrawal, FCA intervention, client loss and reputational damage - if not skilfully handled at the right time.

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& SCOPING by secure conference call

Mitigation

Remediation of business models and processes

Where fires have been extinguished and a firm has been saved, the next key area to element of consultancy that we focus on - is to prevent recurrences. Our ongoing, cost-effective consultancy / support services provide detailed, bespoke advice and input into service provisions, software, processes, systems reviews and document provisions.

‘Our external strategic partner’ - is very often how we are described, providing fresh thinking and challenging traditional ways of working; that unchallenged - can potentially hold the business back and leave it open to future problems.

Our ability to follow through regulated processes in detail, that fills a gap in time and resources gives our clients the flexibility to meet the challenges of running a regulated business in today’s environment.

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& SCOPING by secure conference call

Insolvency

Insolvency and replacement business entities

Where adverse business history cannot be extinguished, or where we are instructed too late to change the course of events, we will still endeavour to guide our client firms and instructing individuals to ensure that the personal and financial damage is minimised.

Our contacts in Insolvency and the wider financial services industry can be called upon to support progress towards a brighter future.

Request your FREE INITIAL CONSULTANCY
& SCOPING by secure conference call