Peak Regulatory Services

Peak Regulatory Services

Peak has been supporting clients with their regulatory needs since 2000; during this time we have worked with companies conducting technical reviews, providing specialist resources, developing the frameworks and monitoring to ensure on-going compliance.

Peak and the Motor Trade

Peak and the Motor Trade

FSA regulation of the motor trade commenced in January 2005. In preparation, from 2004, Peak began working with and supporting main dealer franchises across the country. Our services include the provision of robust on-line solutions including training and competence programmes and Statement of Demands & Needs (SODAN).

We also manage regulatory complaints on behalf of our clients, ensuring compliance with Treating Customers Fairly, while minimising the financial exposure to the business.

Managing PPI Complaints

Managing PPI Complaints

The demand on businesses to manage complaints has increased since the introductions of the Policy Statement 10/12 (The assessment and redress of Payment Protection Insurance complaints).

We have systems and controls that allow us to respond and manage regulatory complaints. Our clients simply pass us the information and any supporting documentation, we create all necessary letters, supporting documentation and maintain an audit trail.

Resourcing

Resourcing

Since 2000, Peak has supplied specialist and technical resources to clients. We can supply either individuals or teams, depending on the project requirements. Assignments have included: specialist reviews (pension drawdown, investment advice etc), design and training and delivery teams; we have also supplied individuals with specialist technical skills

Technical Solutions

Technical Solutions

We have developed on behalf of our customers, management information and dashboard systems allowing them to monitor and control Treating Customer Fairly KPIs, operational risk and learning and development/competency frameworks.

Our experience allows us to modify 'off the shelf' solutions or design bespoke systems.

Why Peak

There are many different reasons why someone chooses one supplier over another. You will have your own reasons of course, but what you see if you click the link below are all the reasons for choosing Peak, that we think make us different.

Approach

Our approach allows us to develop a clear understanding of exactly how your business works and to build a close relationship with key individuals and decision makers.

Customer Support

It is our belief that our support should go beyond pure consultancy! We expect to work with you on an ongoing basis, reviewing internal systems and procedures ensuring compliance while maximising performance.

Alternatively, you may need us to review sales processes or product options, we can also help you to define the most appropriate regulatory structure.

Best Solution

We have developed a number of solutions to enable firms to comply with regulation, from a system to create the appropriate documentation and auditable record trail required by the regulator, to an on-line assessment facility which can be configured to specific requirements. The systems are administered by Peak to reduce the burden on you and your staff and can be adapted for any product: