Financial Services: Case Study 1

Background

Specialist lender and savings bank offering products to SME’s, homeowners, landlords and individuals.

Our Approach

  • Implement an effective whistleblowing process as per FCA guidelines
  • Support our client’s employees through the process of reporting their concerns, ensuring where possible contact is maintained with the whistleblower from investigation through to resolution
  • Provide the client with instant escalation of alerts received allowing the company to quickly take action
  • Provide Regular management information reports providing whistleblowing trend analysis

The Benefits to the Client

  • Adherence to FCA regulation for whistleblowing
  • Complete confidentiality for all staff to encourage employees to speak up when they become aware of wrong doing
  • Training for all staff on whistleblowing, fraud and bribery to encourage all staff to speak up when they become aware of unethical behaviour

The Plus Factor in Action

  • We helped our client save money by providing a further deterrent against fraud, financial misconduct and bribery
  • We saved our client time by delivering an effective, flexible and convenient process to allow their employees to raise concerns
  • We gave our client peace of mind by ensuring the service complies with relevant whistleblowing and FCA legislation
  • We supported them now and in the future by keeping them informed of any changes in whistleblowing legislation which may be relevant

 

Jill Walker

Key Contact

Jill Walker
Director, Head of Private Client

jill.walker@aab.uk
+44 1224 625111

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