Key Performance Indicators

Key performance indicators
The directors consider the key financial performance indicators (“KPIs”) for the Group 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 enough 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;
  • 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 page 28.

Approved by the board


Mr J Wheatley
15 January 2021

S172 Companies Act 2006
The board should understand the views of the company’s key stakeholders and describe how their interests and the matters
set out in section 172 of the Companies Act 2006 have been considered in board discussions and decision-making.

Compliance with the principles of the QCA code
The Board have adopted the ten principles of the QCA code as an appropriate framework for a Company of our size and status.
The table below demonstrates how the Company have applied each of these principles:


Annual Report

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