We advise on investor-protection frameworks, disclosures, product governance, and complaint handling designed to be audit- and dispute-ready.

How we typically support

We help firms build controls that work operationally and produce records capable of supporting the firm’s position if a dispute arises.

Scope of services

• Designing product governance and target-market frameworks

• Implementing disclosure and communications review processes

• Setting suitability/appropriateness workflows and documentation standards

• Designing complaint handling and escalation procedures

• Establishing recordkeeping standards for audit and disputes

• Supporting implementation and training

Approach

Investor protection is strongest when it is operationally embedded. We focus on workflows that are executable, evidence-producing, and aligned with the actual client journey.

Deliverables

• A controls map and process documentation set

• A template pack (disclosures, suitability notes, complaint records)

• A readiness gap report with priority fixes

Recordkeeping & dispute readiness

Investor protection is only as strong as its evidence trail. We design workflows and records that support suitability, disclosures, and complaint handling in a way that is operationally workable and audit- and dispute-ready.

Selected experience (anonymised)

• Reviewing suitability and disclosure workflows for evidentiary robustness

• Designing complaint handling processes with clear decision points

• Implementing recordkeeping standards tailored to product complexity

If you need a dispute-focused review of your investor-protection setup, we can typically accommodate short timelines.