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 Group, 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;
  • Treating customers fairly 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.
  • Data and Cyber Breaches – measuring data and cyber failures throughout the Group 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
Strategic considerations are documented within the Director’s Report on pages 24-25.

Approved by the board

Mr J Wheatley

17 January 2020

Annual Report

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