Giving you solutions

As a business you have a great number of requirements for operational processes and procedures.

At UKGI we have a wealth of experience in working with businesses of all sizes to put together a proportionate framework to embrace best practice and operational efficiencies across a whole range of areas including:

The client money rules are challenging. As experts in this field we can help you interpret the rules and understand what they mean to you.

We have a proven track record in highlighting issues and suggesting appropriate solutions, even going as far as helping our clients change the way in which they deal with client money resulting in reduced regulatory fees and freeing up money to help with cash flow. Many of our clients ask us for help prior to or during their CASS audit and we are more than happy to oblige. Invariably no two Terms of Business Agreements (TOBAs) are the same, and it’s a time consuming job checking them all, so let us do it for you and document an overview.

Sales are the bread and butter of your business so it’s important that you operate efficient and compliant sales procedures.

UKGI offers a whole range of services to ensure regulatory compliance, operational efficiency and best practice, including sales training, sales process reviews along with call scripts and documentation all designed with the customer in mind.

Striking a balance between effectively promoting your organisation and meeting your legislative and regulatory requirements can be tricky.

At UKGI we have a team of experts who will help you to get your messages across whilst eliminating the risk of a backlash from your customers and the regulator. Take a look at our financial promotions review and website checking services.

By ensuring that you and your staff have the right skills and knowledge you are protecting your business and providing customers and the regulator with confidence that they are dealing with a business which holds integrity, skills and knowledge as key.

UKGI can not only help you design a training and competence framework to meet your needs, we can also design and help you implement training to bridge skills gaps and ensure that you and your people have the most up to date knowledge. Let us help you support your people through reviewing your clients files, helping you with call monitoring, supervisor training or simply providing you with access to an online training system through Broker Assess at preferential rates to our clients.

In any business things don’t always go to plan and you may find that you can’t please all of your customers all of the time.

That is why how you handle the complaint is so important. We can help you by designing and delivering an effective complaint handling process, complete with the required supporting documentation. We’ll also help with training your staff and helping you to recognise the benefit of complaints and how they can be used to continuously improve how you operate.

Proportionate solutions...

We’re not in the habit of recommending solutions that are excessive or disproportionate to your business. At UKGI we get to know your business and use our experience to recommend solutions that work for you and genuinely add operational value to your organisation.

Contact us today to discover how UKGI can help your organisation.

CII CPD accredited

Demonstrates the quality of the training provider’s course and confirms that it meets CII member CPD scheme requirements. Read more...