Case Studies
Results that speak for themselves
From FCA-directed reviews to large-scale remediation programmes — real engagements, documented outcomes, across every major regulated sector.
36 results
Remediation of ongoing services under section 166
Discover how TCC Group supported a wealth management firm through a Section 166 investigation and remediation programme, providing a managed service that delivered large-scale case preparation, evidence gathering and operational support.
- Completed case files delivered 4000 cases
- Remediation cases prepared 2000 cases
Comprehensive UCIS review without the cost burden
Discover how TCC Group helped an IFA remediate unsuitable UCIS business following FCA findings, delivering specialist review expertise, cost-effective remediation support and sustainable improvements to future compliance oversight.
Top-end consultancy deployment: Strategic compliance leadership
Discover how TCC Group strengthened a financial services group's risk and compliance framework by providing interim compliance leadership, enhancing governance structures and establishing an effective assurance function across the UK and Republic of Ireland
- Delivery timetable 6 months
Strategic resourcing: Complex claims handling
Discover how TCC Group supported a complex claims handling programme in the wealth sector, providing specialist resource, technical expertise and quality assurance through a long-term resourcing partnership.
- Technical SMEs deployed 2 SMEs
Specialist resourcing: Strategic partnership
Learn how TCC Group has supported over 50 clients across the UK, EMEA and APAC, providing specialist interim resource to meet complex operational, regulatory and transformation demands.
- Resources deployed 8000+ associates
- Individual projects serviced 300 projects
- Strategic alliance duration 20 years
- Different role functions 500+ resourced
Specialist resourcing
Discover how TCC Group helped a leading advice and investment management firm launch a large scale defined benefit pension transfer remediation programme by rapidly providing specialist resource, infrastructure and operational support to meet FCA deadlines.
- Contractor network size 5,000 associates
- Remediation team size 70 specialists
Specialist resourcing
TCC Group provided comprehensive resourcing, systems, and secure infrastructure in Leeds to help a leading advice firm establish a 70-strong team and address unsuitable pension advice timescales.
- Contractor network size 5000 associates
- Remediation team size 70 specialists
SMCR post-implementation review
We delivered a collaborative, remote SMCR post-implementation review for a leading general insurance firm, verifying their governance frameworks and providing recommendations for cultural enhancement.
SMCR assurance
We conducted an independent SMCR assurance review for a leading insurance broker, identifying key gaps in documentation and responsibilities to ensure compliance prior to FCA submission.
Responsive resourcing
Discover how TCC Group helped a growing financial advice firm complete a critical annual monitoring audit by rapidly deploying specialist regulatory consultants, strengthening audit processes and providing expert oversight under tight deadlines.
- Regulatory consultants deployed 3 consultants
- Time to appoint resource 1 week
- Time to first audit visit 1 month
Resourcing partnership: Large-scale remediation project
Learn how TCC Group helped deliver a complex pensions remediation programme, combining specialist resource and technical expertise to achieve high customer satisfaction and low complaint levels.
- Customer satisfaction rating 94 %
- Pensions contractor pool 30000 associates
- Remediation complaint level 3 %
Regulatory due diligence
We conducted a comprehensive regulatory due diligence assessment and cultural review of a target independent financial planning firm, creating an action plan to mitigate conduct risk before acquisition.
RegTech remediation project
Discover how TCC Group helped a growing financial advice firm accelerate a large-scale replacement business review by combining remediation expertise with RegTech automation, delivering faster reviews, greater accuracy and significant cost savings.
- Cases reviewed in four days 5000 cases
- Accuracy rate maintained 97 %
- Project cost savings 1.2m £
- Acquisition growth period 24 months
RegTech enabled Past Business Review
Discover how TCC Group helped a global insurance and pensions provider accelerate a large-scale defined benefit pension transfer review by combining regulatory expertise with RegTech, AI and automation to meet demanding FCA deadlines.
- Project hours saved 25000 hours
- Cost savings achieved £ 3m
- Review time per file reduced to 1 hour
Project rescued by RegTech
Discover how TCC Group helped a leading retail bank rescue a stalled arrears remediation programme by combining regulatory expertise with RegTech automation, reducing remediation volumes and accelerating customer outcome reviews at scale.
- Remediation population reduction 60 %
- Auto-remediation cases 30 %
- Struggling project planning delay 12 months
- Initial in-scope population 1m+ customers
Programme management of regulatory risk and remediation
Discover how TCC Group provided senior programme leadership and governance oversight across a complex portfolio of pensions and financial crime remediation activities, helping a major life and pensions provider strengthen control, delivery and regulatory engagement.
Past business review
TCC Group rescued and managed a major past business review for a leading adviser network, redesigning workstreams and implementing a workflow solution to review 22,000 cases and calculate £13m in redress.
- Cases reviewed 22000 cases
- Redress calculated 13000000 £
- Project timeline 18 months
Outsourced business assurance accelerated by RegTech
Discover how TCC Group helped a national financial advisory firm transform its business assurance function through outsourced expertise and RegTech-enabled file checking, improving quality, increasing capacity and reducing operational pressure.
- Case processing speed improvement 3x faster
- BAU case check rate improvement 2x increase
- Review efficiency 50% faster
Rapidly scaling an expert team for ongoing advice reviews
Discover how TCC Group helped a wealth management firm respond to large-scale ongoing advice servicing complaints by rapidly building a specialist suitability review operation and providing the expertise needed to support complaint investigations and redress assessments.
- Peak specialist team size 200 associates
- Affected customers reviewed 15,000 customers
- Academy training duration 6 weeks
- Initial suitability 50 reviewers
Global compliance operating model
We re-engineered the complex compliance structures of a top global Asset Manager, designing and deploying a unified global compliance operating model across three international jurisdictions within 18 months.
Getting GDPR ready
We supported a leading mortgage provider in achieving GDPR compliance by mapping complex data-flows, conducting governance reviews, and resolving digital data management deficiencies before the regulatory deadline.
Equity release redress
Discover how TCC Group helped a major high-street bank recalculate equity release redress across a complex customer portfolio by developing a bespoke modelling solution that delivered accurate, defensible outcomes.
- Calculation accuracy tolerance 10 pence
Defined benefit transfers
We supported a national financial planning network by delivering rapid, high-quality defined benefit transfer loss assessment calculations and resolving complex data gaps within a strict two-week window.
Customer remediation: Defined benefit pensions
Discover how TCC Group helped a leading advice and investment management firm deliver a large-scale defined benefit pension transfer remediation programme, rapidly deploying specialist resource and operational infrastructure to meet FCA-driven timescales.
- Remediation team size 78 specialists
- Contractor network size 30000 contractors
- Initial target team 70 people
Culture & conduct risk assessment
We conducted a culture and conduct risk assessment for a rapidly growing financial firm following multiple acquisitions, designing an actionable plan to unify practices and track cultural indicators.
Compliance review and remediation
Discover how TCC Group helped a growing asset management firm strengthen its compliance framework through a comprehensive review and remediation programme, delivering governance improvements, updated policies and enhanced risk management capabilities under tight timescales.
Improving compliance monitoring with conduct risk reviews
We supported a leading insurer under heightened regulatory pressure by augmenting its compliance monitoring team, conducting thematic conduct reviews, and embedding industry best practices across customer-facing processes.
Designing a more effective and efficient compliance function
TCC Group redesigned and strengthened the compliance and quality monitoring functions for a medium-sized UK short-term lender, ensuring full alignment with FCA CONC requirements and resolving regulatory concerns.
Challenging an FOS judgment
Discover how TCC Group helped a client challenge a Financial Ombudsman Service (FOS) redress calculation by identifying flaws in the original methodology and developing a more accurate, defensible approach to managing financial exposure
Calculator build and assurance
Our actuarial team built and assured bespoke, post-Plevin single premium loan, credit card, and mortgage calculators for a leading retail bank, delivering thorough quality assurance, coding tests, and operational user documentation to streamline their PPI redress programme.
Flexible overflow business assurance relieves internal pressure
Discover how TCC Group helped a rapidly growing financial advice firm manage peaks in business assurance demand through a flexible overflow service, providing independent oversight and maintaining quality during periods of high growth.
AML Review & Remediation
Discover how TCC Group helped a global bank strengthen its anti-money laundering controls through a comprehensive customer due diligence review, identifying process weaknesses and recommending targeted improvements to reduce regulatory and financial crime risk.
AML Customer Due Diligence Review
Discover how TCC Group helped a global bank strengthen its anti-money laundering controls through a comprehensive customer due diligence review, identifying key risks and recommending improvements to support regulatory compliance.
Acquisition due diligence
Discover how TCC Group helped a client assess potential redress liabilities during the acquisition of an independent financial adviser, providing the insight and assurance needed to support pricing, deal negotiations and strategic decision-making.
- Portfolio sample size 30 cases
Meeting MiFID II rules with help from expert team
Our experts delivered a bespoke MiFID II readiness programme for a large advisory network and portfolio manager, identifying key operational gaps and enabling the client to implement necessary changes cost-effectively using their internal resource under our professional assurance.
Redress calculations
We supported a large IFA with suitability and redress calculations for 3,000 customers, proposing a streamlined data methodology that saved over 20% in costs and completed four months early.
- Cost savings achieved 20 %
- Remediation project population 3000 customers
- Initial file review size 50 files
- Project duration reduction 4 months
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FAQ
Common questions
What do TCC case studies show?
Each case study sets out the regulatory challenge a firm faced, the approach TCC took and the outcomes delivered. They cover advisory, managed services, specialist resourcing and tech-enabled compliance work across banking, pensions, motor finance, lending, insurance and wealth management, and are written to show how the work was governed and evidenced.
Are these real client engagements?
Yes. Every case study describes genuine TCC work. Client names and identifying details are withheld or anonymised where confidentiality, commercial sensitivity or regulatory restrictions apply, so the focus stays on the compliance challenge, the method used and the measurable outcome rather than the individual firm.
How do I find case studies relevant to my firm?
Use the Sector, Solution and Service filters above the grid. Sector narrows to your market, such as banking or motor finance. Solution maps to the compliance challenge, such as Consumer Duty, financial crime or redress and remediation. Service reflects how TCC delivered the work, from advisory through to fully managed operations.
Can I download a case study?
Yes. Individual case studies provide a download where a full written version is available, so you can share the detail internally with risk, compliance and executive stakeholders. Where no download is offered, the full narrative is published on the case study page itself.
What outcomes does TCC typically evidence?
Outcomes vary by engagement but commonly include reduced case handling times, improved file quality and consistency, demonstrable Consumer Duty outcome evidence, remediation delivered to agreed timescales, and strengthened governance that withstands regulatory scrutiny. Each case study states the specific measures achieved for that piece of work.
How do I discuss similar work for my firm?
Contact us and describe the regulatory challenge you are facing. We will match you with the specialists who delivered comparable engagements and set out practical options, whether that is advisory support, a managed service, additional specialist resource or a technology-enabled approach.