Insurance Company, North West England

For 15 months we had 6 senior consultants involved, primarily within the Compliance Department, on projects which included:

• The development of laptop point of sale systems
• Complaints resolution
• New and historic business reviews
• Compliance sign off of new processes
• Monitoring and compliance training of sales force and introducers
• Advising on the development of new processes
• Developing and implementing mortgage compliance procedures.

UK Government Department

Review of evidence, research and advice in connection with the defence of a significant High Court action.

Isle of Mann client

Acting as the local representative for an offshore client in the resolution of a £70m investment fund dispute, including ensuring the security of the investment and its future management by a new fund manager.

Mutual Life Company, South of England

Assisting the Company Secretary and advising on:

• Data Protection review and the new data protection regime
• Developing an e-mail and internet policy
• Reviewing copyright and trade name issues including investigating and identifying breaches

Large Friendly Society, South of England

A major contract involving interim management and consultancy over 18 months.

Interim Management ( Field Compliance Manager )for 9 months involving

• a significant business re-engineering project
• setting up a field monitoring unit of 12 staff
• setting up a special investigations unit of 8 staff
• developing processes and procedures for both units
• recruiting staff
• developing an annual compliance audit plan
• preparing reports for submission to the Regulator on remedial action following an inspection visit
• deputising for the Compliance Director and attending Board meetings

In addition, consultants were involved in:

• The compliance sign off of new processes
• Developing processes for the production of "reason why" letters
• Production of lap-top point of sale systems
• Producing employment disciplinary and grievance codes
• Investigating alleged rule breaches
• Planning and implementing remedial action

A major UK based International Insurer

Providing a consultant as an expert witness in a major High Court action, scheduled for a 3 week trial.

Major UK Insurer

Provision of expert witnesses in 2 high profile court actions.

Insurance Company, Cardiff

Compliance due diligence checks on the acquisition of a significant business operation.

Insurer, Bristol

Assisting in setting up a third party service provider with the appropriate compliance systems and procedures

Mutual Insurer, South of England

Recruitment of senior compliance staff

Friendly Society, South Coast

Recruitment of non executive director

Investment Company, South West

Recruitment of CEO and Investment Managers