Overview

People & Expertise
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When things go wrong a firm must act quickly to take corrective action and handle a matter properly with the regulator.

CCL has considerable experience in handling these sensitive matters, liaising with the regulator and taking remedial action. Such action includes:

  • Past business review
  • Client file reviews
  • Procedures review
  • Process Re-engineering
  • Staff Training

CCL helps firms fully remediate the issues, establishing the full extent of the issue, taking corrective action, helping firms calculate compensation due to clients, training senior management and staff and monitoring the effectiveness of new procedures.

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