You can use our online diagnostic tool to assess how your firm runs its regulated operations against a number of questions under each heading of the CONSULTâ„¢ framework. This tool is available free of charge for you to use now.

Assessment Workshop

We can facilitate a one day assessment workshop with your key managers from functions such as sales, compliance, training, marketing, risk, sales quality, etc. This workshop will comprise of the following:

  1. Introduction to the CONSULTâ„¢ framework and our best practice standards for your regulated operating model.
  2. Understanding the regulatory agenda, current expectations and the direction of travel of the FCA.
  3. Benchmarking and assessing your regulated operating model: using our online assessment we will create with you an assessment of your strengths and weaknesses as they are now and agree reasonable targets for improvement.
  4. Improvement planning: agreeing an improvement plan prioritised around how you can gain most improvements as well as achieving increased efficiency and cost reduction.

You will also be provided with a detailed report and spreadsheet showing your assessment scores so that you can monitor your progress and benchmark again later to track your improvements.

For an additional charge, Enterprise Learning can carry out a short independent review of your advice operations so that at the workshop we can provide you with our assessment of your strengths and weaknesses and recommendations for improvement.

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