Beyond tick-box compliance: case reviews for PI protection; a discussion between Verve and BareRock about the best approach to case reviews for financial advice firms. Case reviews shouldn’t be just another compliance exercise. As regulatory expectations evolve, so must our approach to file checking and documentation. Join us for an enlightening session that challenges conventional case review practices and introduces practical strategies for protecting your firm’s future.
Whilst case reviews are a fundamental part of compliance, many firms struggle with making them truly effective. Poor file-checking practices and documentation not only create regulatory risk but can significantly impact your ability to defend against complaints and therefore influence PI coverage and costs. As Consumer Duty raises the bar for evidencing good customer outcomes, understanding how to create robust case review processes becomes increasingly crucial.
Our unique approach combines practical compliance expertise with real PI claims experience. We’ll show you how effective case reviews can protect both your clients and your firm, while potentially reducing your PI costs. Learn how to move beyond passive feedback to create meaningful improvements in your advice process.
