Key Performance Indicators

Key performance indicators

The directors consider the key financial performance indicators (“KPIs”) for the Company are as follows:

In addition the directors consider the non financial key performance indicators (“KPIs”) for the Company, which are reviewed on a monthly basis, are as follows:

  • Advice Quality Reviews – review of the suitability of financial planning and investment advice provided to our client base;
  • File Quality – measuring the quality and integrity of documentation ensuring that it provides sufficient defence against future financial and regulatory scrutiny and represents the quality of advice provided;
  • Complaints – measuring the volume of regulated advice and service complaints received within any given period;
  • TCF Surveys – qualitative information sought from clients who engage in new/repeat advice process; and
  • Breaches – measuring process failures throughout the group and thematic evidence produced to highlight weaknesses for action.

Directors during the financial year

John Wheatley, Alan Hudson, Paul Wright, Susan Lewis, Mark Chambers, Austin Broad and Alexis Larvin were directors of the Company throughout the financial year.

Directors’ attendance at Board and Board Committee meetings

Director’s report

Some strategic considerations are documented within the Director’s Report on pages 22-23.

Full disclosure of information

Each of the Directors at the time of this report confirm that so far as they are aware, there is no relevant audit information of which the company’s auditor is unaware and he / she has taken all appropriate steps to make himself / herself aware of any relevant audit information and to establish that the company’s auditor is aware of that information.

Approved by the board

Mr J Wheatley

18 January 2019

Annual Report

Please click below to download the full annual report as a PDF file.