Help for
Professional Bodies
The Challenges
- Building and implementing high quality accountable disciplinary procedures.
- Providing entertaining and challenging conference and training sessions for members.
- Limited resources to deal with legal and compliance issues.
- Need for someone to refer members to with problems outside the body's expertise.
- Resolving disputes involving members.
- Need for an external independent perspective on regulatory developments.
Solutions
- Re-drafting Codes of Ethics and Disciplinary Procedures to comply with FCA and legal requirements
- Building and auditing disciplinary proceedings
- Advising bodies on handling disciplinary cases
- Acting as individual investigator on cases
- Providing conference and training sessions on financial services compliance and business management issues for members
- Read Consumer Complaints and Compensation particularly Chapter 23.