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As the world's largest law firm with more people in more places than any of our competitors, Dentons provides in-house teams with expert advice across a range of integrated services and locations. Our full-service approach and deep roots in the communities in which we operate enable us to deliver tailored solutions to our clients' most complex legal and business challenges. We work on prominent transactions, regulatory (including economic crime) and disputes with innovation and commercial expertise at the heart of what we do and have advised on some of the most significant deals, disputes and advisory matters in domestic and global markets[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="8828" img_size="full" alignment="center" css="" qode_css_animation=""][vc_column_text css=".vc_custom_1717459857702{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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Onyx Insurance Brokers Limited
As a specialised Lloyd’s of London insurance brokerage, we concentrate on professional indemnity insurance, tailored to the specific needs of the UK Financial Services sector. Our deep understanding of industry-specific risks ensures comprehensive protection for our clients against potential liabilities.
We conduct thorough evaluations of your current insurance program to identify potential vulnerabilities, ensuring your coverage is comprehensive and suited to your business needs. Our team is here to support you in the event of a claim, working on your behalf to secure favourable outcomes. We provide bespoke insurance policies that match the unique requirements and risk profiles of your business.
If you are looking to review your coverage or require advice on managing your professional risks, we are available for consultation. We are dedicated to offering knowledgeable support and ensuring you have the right insurance in place.
Contact Us for a Consultation
For more information on how we can assist with your professional indemnity insurance needs, please contact us.
Info@OnyxInsurance.co.uk
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Helping consultants run compliance like clockwork.
Stay focused on the outcome from the outset. We’re your GRC technology partner, here to give you the competitive edge.
More business. Less busy-ness.
Bring order to end-to-end compliance processes with the most advanced SaaS platform for advisors and consultants.
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Quantuma Advisory Limited
Celebrating its 10th anniversary in 2023, Quantuma is an independent advisory firm serving the needs of corporate companies and their stakeholders.
We work alongside banks, major law practices, private equity houses, hedge funds, asset-based lenders, brokers, accountants, and regulators to support businesses and their clients. Our capabilities include extracting value from underperforming businesses, transactions to maximise stakeholder value, resolving business disputes, mitigating business risks, identifying and recovering assets and managing operational and financial challenges.
We have unrivalled experience working with regulated businesses and have strong relationships with the FCA, PRA and SRA, resulting from numerous instructions.
Our team has deep cross-border experience and specialist expertise in Restructuring & Insolvency, Corporate Finance, Disputes, Investigations, Asset Tracing & Recovery and Valuations.
The firm is headquartered in London and employs 400 people, who are located across 26 offices situated in the UK, Cyprus, Mauritius, The Cayman Islands, BVI, Singapore, Dubai and Australia.
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With focused specialists we have expertise in banking, finance and regulatory law.
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Redress arising from pension transfer or income drawdown advice can happen years after the fact.
First Actuarial has a team of defined benefit pension experts with decades of experience in valuing defined benefit pension liabilities. Our team, led by Sarah Abraham, can use our specialist knowledge to:
- Carry out redress calculations
- Assist with the redress aspects of past business reviews
- Assess the risk associated with a legacy book of transfer advice in readiness for an IFA sale or purchase
- Set an appropriate reserve for redress in the financial statements
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- Recommend sensible advisory measures to mitigate future redress
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Leo RegTech Limited developed Leo, the all-in-one compliance software designed for compliance professionals and regulated firms. Leo automates compliance workflows and provides you with the tools to assess a firm’s risk profile and build a monitoring program, manage employees’ compliance tasks and responsibilities, deliver and monitor online training, and manage all other aspects of the compliance framework.
Our compliance consultancy clients increase their value proposition with our software. They use Leo’s report templates and registers, as well as create their own to ensure that their clients receive consistent and well-organised service.
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www.leo.tech
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Our account handlers have over 20 years’ experience in this sector and have an in-depth knowledge of the regulatory/coverage specific issues currently affecting IFAs and Mortgage Brokers.
Some key features of the policies that we can arrange:-
- Competitive premium rates without restricting coverage
- Retrospective cover for Network Members
- Coverage for claims relating to the insolvency of financial institutions (Many policies exclude this event)
- Cover for Defined Benefit Pension Transfer advice
- ‘A’ rated insurers, Lloyd’s & Company Markets
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4th Floor Copenhagen House,
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London,
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Cascade is a Compliance, Administration and Governance Software solution.
Easily adaptable, “no coding required”, it is used by compliance consultants to help implement the compliance policies they create for their clients. Turning that 100/200 page PDF of their compliance manual into a working solution.
This helps the client get all members of staff up to speed on documents required, questionnaires required etc. dependent upon the role the counterparty plays to the client. This cuts down on interpretation issues and also ensures that you never ask for the same document twice.
It was developed to help SMEs to manage the ever-growing compliance overhead by creating a central repository for all elements of a Risk based approach to compliance.
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- Onboarding new clients & organizing client acceptance Committees
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- Basic Transfer Agent function for closed ended funds
- Full Project and Task management functionality including deadline monitoring
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- Crypto Exchanges
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We provide solutions to create, preserve and recover value across a range of complex situations from multinational organisations to small enterprises. With over 700 team members, including 101 partners operating from 30 locations across the UK and overseas (Cyprus and Isle of Man), we provide our clients with the advice needed to guide them through every stage of the corporate lifecycle.
Specialising in corporate finance, debt advisory, restructuring, forensics and financial advisory, these five core service areas compliment each other to deliver strategic solutions across a broad range of situations. This multidisciplinary approach is integral to our success as we draw on the skills of our experts within each of these areas to ensure the right people are in place for each circumstance.
Advisory services to regulated firms and individuals
Our advisory professionals provide advice and leadership through times of strategic change or financial and non-financial challenge, delivering tangible results for both businesses and individuals.
We have the experience and capability to handle financial services advisory, forensics and restructuring and insolvency engagements of all sizes and complexities.
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We are a market leading team specialising in the financial services sector, with particular emphasis on representing a range of firms and individuals who are facing issues with the FCA. Our team and the individuals in it, which includes former FCA regulators, are highly ranked in the legal directories.
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Extensive experience in dealing with FCA investigations.
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The team has strength across individuals and corporates and have great insight across all aspects of the financial services sector, particularly asset management. They are very collaborative and committed to advancing the interests of their clients.
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Superb team for defence Financial Services work….
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string(9894) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner el_class="Simplifying compliance requirements around identifying and reporting on financial vulnerability Comentis provides regulated firms with the ability to consistently and objectively identify financially vulnerable clients through a simple to deploy, clinically developed online assessment process. The unique assessment process flags those at risk and allows advisers to log both interventions and outcomes. All of which feeds into our vulnerability dashboard which has been built as part of the FCA innovation Hub program. Assessments can be discretely integrated into existing client journeys (onboarding, factfind, KYC) & advice processes, providing a seamless experience for clients whilst enabling your clients to meet growing regulatory requirements more easily. You can find more information and an explainer video on our Financial Vulnerability webpage How it works Through a limited number of non-invasive questions, clinically developed algorithms identify customers at risk of financial vulnerability, including resilience and capability drivers. On completion of an assessment a detailed vulnerability report is created for the client’s file. Through our intervention log, any recorded actions are also incorporated into each report, providing a complete audit trail. Comentis is also integrated in a growing number of client management platforms including Intelliflo, Time4Advice and Iress. Unrivalled Analytics and Reporting Comentis provides compliance firms with unrivalled analytics and reporting around financial vulnerability and mental capacity. Using the primary data from the assessments, our App provides clear and straightforward reporting on: • User analytics – what advisers have done what • Risks Identified – what vulnerability risks exist in a client base • Interventions and outcomes – what actions have been taken and what risks have been confirmed, mitigated • access to our Vulnerability Dashboard, providing oversight on vulnerabilities. By ensuring your clients use our App you will not only be ensuring they consistently identify vulnerable clients, but also make the future recording of actions and reporting to the regulator easier, quicker and more accurate. Class leading expertise What sets Comentis apart is its clinical pedigree and team of inhouse experts, each contributing years of experience in the fields of mental health assessments, clinical psychology, and mental capacity. Developed alongside financial services professionals, Comentis delivers an unrivalled solution for the identification of the financially vulnerable. Comentis has gained support from the FCA in developing the App as part of the FCA Innovation Hub Program. They are also subject matter experts on the PFS Vulnerability Taskforce and members of the TISA vulnerability Working Group and TisaTech. “Vulnerability is so challenging for financial advisers to identify objectively, yet in these times more financial advice customers than ever are likely to fall into that category. Not only does the Comentis solution help firms meet their regulatory obligations, it also enables advisers to evidence this and sensitively approach vulnerability, leading to better outcomes for the end-customer.” Marjolaine Quirke Director of Client Delivery, Tenet Compliance Services Contact details Email: Joe@comentis.co.uk Tel: 07496244431 www.comentis.co.uk/financial-vulnerability" width="1/2"][vc_column_text css=""]
Comentis
Simplifying compliance requirements around the identification and reporting of financial vulnerability
Comentis is the duty of care assessment company. By uniquely combining clinical and technical expertise, we enable regulated firms to consistently and objectively identify financially vulnerable customers/clients through an easy-to-use, clinically developed digital assessment which flags those at risk and allows users to log interventions and outcomes.
An assessment can be discretely integrated into existing sales journeys/advice processes, providing a seamless experience and enabling your clients to meet FCA regulatory requirements more easily. We have developed specific assessments for the following sectors:
- Wealth and Financial Advice
- Mortgages and Later Life Lending
- Consumer/ Retail Finance
- Automotive Finance
You can find more information
here.
How it works
Customers/clients answer a short online questionnaire with a small number of non-invasive questions. The algorithms then identify those who are at risk of financial vulnerability, as defined by the FCA’s vulnerability drivers including resilience and capability.
On completion of an assessment, a detailed vulnerability report is created for the individual’s file and any recorded actions are saved in an intervention log, providing a complete audit trail.
Unrivalled Analytics and Reporting
Comentis provides unrivalled analytics and reporting around financial vulnerability with a vulnerability dashboard, giving you full oversight. Using the primary data from the assessments, our platform produces clear and straightforward reporting on:
- User analytics
- Identified risks – providing oversight on the whole customer/client base
- Interventions and outcomes – what actions have been taken and what risks have been confirmed and mitigated
By using the assessment platform, your clients will not only be ensuring the consistent and objective identification of vulnerable customers/clients, but also make the future recording of actions and reporting to the FCA easier, quicker and more accurate.
Class leading expertise
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Comentis has gained support from the FCA in developing its platform as part of the FCA Innovation Hub Program. They are also subject matter experts on the PFS Vulnerability Taskforce and members of the TISA vulnerability Working Group and TisaTech.
“Vulnerability is so challenging for financial advisers to identify objectively, yet in these times more financial advice customers than ever are likely to fall into that category. Not only does the Comentis solution help firms meet their regulatory obligations, it also enables advisers to evidence this and sensitively approach vulnerability, leading to better outcomes for the end-customer.”
Marjolaine Quirke
Director of Client Delivery, Tenet Compliance Services
Contact details
Email:
hello@comentis.co.uk
Tel:
0203 3282 0582
www.comentis.co.uk/financial-vulnerability
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string(4311) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text][/vc_column_text][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner width="1/2"][vc_column_text]I am an Executive Coach working with people in a wide range of organisations including compliance consultants and insurance brokers.
I am Masters qualified and Accredited by the Association for Coaching and have been coaching for over 10 years.
What is Executive Coaching?
Well, I won’t tell you how to do your job, but I will help you with these:
- Operating more effectively in your organisation
- Navigating complex team dynamics
- Exploring your aspirations and goals
- Opening your mind to new ways of thinking
- Becoming more courageous
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In a nutshell, then, Executive Coaching is helping people to help themselves. In fact, a coach has been likened to someone 'walking alongside' you. It's a confidential one-to-one conversation that's tailored to you and your situation containing a blend of support and challenge, but it's a conversation with a purpose.
The sessions are 90 minutes and typically monthly, and can take place at your work premises or at a local venue of your choice, but are increasingly online (Teams, Zoom etc.)
Get in touch for a free taster session or if you just want to find out more.
Ian Mercer MSc MA (Cantab) MCIPD CEng MIET
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CCL Academy is an Accredited Training Partner (ATP) of the Chartered Institute for Securities & Investment (CISI) and is one of the select number of ATPs to be awarded the coveted Premier Accredited Training Partner status in recognition of its exceptional CISI training services. The Academy is also an approved CISI CPD provider for the CISI CPD Scheme, and are proud to deliver a range of Governance, Risk and Compliance qualifications in association with the Henley Business School and the ICMA Centre.
The firms unique and wide range of compliance learning opportunities include a holistic, 360 approach to compliance training that caters to the whole business. This includes:
- An eLearning library covering the mandatory topics needed for front/back-office staff
- Bespoke In-House Courses across the major Compliance/FCC topics
- A series of skills-based, Public Courses for Compliance/FCC staff
- A CPD Programme ideal for Compliance/FCC staff
- An innovative On-Demand Video Tutorials for the Compliance/FCC team, and Regulatory Briefings for Senior Management.
CCL Academy’s Referral Scheme allows APCC members to give their clients access to the 360 Approach to Compliance Learning package – a solution to ensure that all staff across their firm have access to the compliance learning resources they need.
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Worried about how to protect your business from ransomware attacks and email account takeover?
The solution is Mitigo. They specialise in the financial services sector. Their support has been designed to safeguard against cyber attacks and provide businesses with operational resilience. After assessing your risks, Mitigo will take care of the three areas needed to keep your business safe:
Technology – includes detailed technology assessments, penetration testing, and vulnerability scanning
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string(3868) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner width="1/2"][vc_column_text]Danos Consulting provides experienced legal and regulatory experts to the Financial Services sector including consultancies. Our expertise and extensive bench of experienced practitioners means that when our clients need advice and top talent for staff augmentation, ongoing health checks and specialist projects, we can provide highly skilled teams at a moment’s notice.
Our offering includes: Staff Augmentation and Interim Resourcing
If you would like to join our contactor bench or if you are looking for excellent contractors to support your business, please feel free to reach out for a confidential discussion on how we can assist you with your search or provide you with right talent and expertise.
Tel: 0207 010 1153 or Email: bhandelaar@danosconsulting.com
***REFER A PROFESSIONAL*** If you know a professional with the skills and experience to make a great compliance, risk or legal consultant, please recommend them to us. We’ll thank you with a £250 retail voucher if they are placed in a role through Danos Consulting* - Find Out More Visit Our Referral Scheme
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Firms Served
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RPOST UK LIMITED
RPost® is the award-winning global leader in secure and certified digital transactions. With our three main platforms, RMail®, RSign® and RDocs™, we are the perfect complement to our customers' technology stack when it comes to transacting in the digital world in a secure, efficient, and compliant manner.
RMail®
- Email Security Solution
Track, prove, e-sign, encrypt, share, certify, digitize, control, pre-empt – all-in-one
Looking for an all-in-one service experience? RMail® offers the most secure and certified email security capabilities for privacy and compliance and eSignatures for easy digitization of workflows, e-delivery tracking, and managed file transfer to simplify secure sharing of large files. Its AI-infused apps minimize human errors to help you prevent data leaks while document-level digital rights management ensures you have document control even after transmission.
With RMail®, APCC members get:
- Dynamic Encryption: Far beyond opportunistic TLS, RMail intelligently delivers email messages and attachments encrypted to the recipient’s inbox with no need for the recipient to register, click links or install any software. The sender is then returned a Registered Encryption™ receipt for auditable proof-of-fact of encryption and compliance with data privacy laws and regulations.
- Registered Email™ certified e-delivery tracking and proofprovides email open/delivery tracking and evidence, with timestamped proof of original content legally delivered. It returns a court-accepted timestamped Registered Receipt™ email without requiring any recipient action.
- Email Eavesdropping™ Detection is built on RPost® proprietary Active Tracker™ technology, which utilizes advanced AI algorithms and real-time internet data analysis to monitor and detect unusual and/or potentially hazardous activities involving outbound email. If such activity is detected with an email after delivery and onward, RMail® instantly generates an Email Eavesdropping™ alert, including robust forensic details such as activity timestamp, IP address, geolocation, network provider, detection of VPN anonymizer, unusual device language and operating system, device type, and more. Admins can configure what constitutes high, medium and low risk to their normal business operations, and adjust the sensitivity throttle of the alerts.
- Secure Large File Share— senders can easily attach and track up to 1GB of files from Outlook or the RMail Web app through the secure file share Senders can securely send files to any recipient with encryption and configurable self-purging options (from 1 to 90 days) in a one-time online storage box that eliminates the risk of recipients being able to see the sender’s cloud storage file structure.
- E-Sign is the simplest, most affordable, web-based electronic signature feature within RMail, which makes it easy for senders to send documents for e-signing directly from their email inbox using any desktop or mobile web browser.
- Disappearing Ink™and ViewProof™ — senders can tag certain parts of an email message to disappear from within the email after delivery after a designated amount of time since sending, number of views, or time per view. Senders can receive verifiable proof that the recipient has viewed selected tagged parts of an email.
- Redact Reply™– senders can redact particularly sensitive text in a sent message such that if the recipient replies, that sensitive text is automatically removed from the reply email thread.
- SideNote® service makes it easy to append a private “sticky note” to a copied or blind copied recipient, so they have context as to why they were copied. With Disappearing Ink™ enabled, that note can be set for one-time-view and to disappear from the recipient inbox after.
- RMail Recommends™ AI-infused data leak protection, which automatically trains senders on which messages should be treated with special care, and have special RMail features applied, in-the-moment of sending. Dynamically adapts to prevent data leaks and automate email encryption.
- Right Recipient™ mis-addressing and email impostor human error prevention: AI infused service that, in the moment of sending, and if a message is detected to contain sensitive content, automatically reviews the recipient addresses before transmission, determines if the sender should be prompted to verify whether they really want to send sensitive information to the particular recipients, alerts the sender if they are sending to what could be a fake domain or newly created domain used by an impostor, and then if approved for sending, applies the appropriate level of encryption to the message enroute.
- Anti-Whaling™ email impostor protection– Anti-Whaling technology prevents targeted ‘spear-phishing’ and Business Email Compromise (BEC) attacks and alerts the recipient at the moment of reading or attempting to reply or forward.
- RMail Wire Fraud Protection™is a specialized service to assure the right message is sent to the right recipient, with options to apply message-level encryption automatically if the message is related to bill payments, invoices, or wire transfers.
RSign® - complete and robust award-winning eSign & eForms solution by RPost®, recognized as a worldwide leader by IDC. RSign® ensures convenience, compliance, and security for your transactions, allowing users to have more time to do what they do best. With RSign®, you can simply drag, drop and send.
Standardize enterprise eSign workflows with shareable Templates and Rules. Use RForms™ powerful e-forms for on-demand data capture and signoff, allow signers to add attachments, automatic chasing and even send multiple individual eSign requests at once with Bulk Send.
Empowers senders and admins with the flexibility to send eSign notifications and access codes independently via email, SMS, or any combination of both. Accelerate your business processes, and significantly reduce your eSignature costs.
RDocs™ – Rights Protected Documents™ is the most innovative solution for secure sharing. RDocs™ allows you to share a Rights Protected Document (RPD) while keeping complete ownership and control after the share.
It is like having a remote control for your shared documents, monitor reader activity, ban readers individually or kill the content remotely after sending. RDocs™ offers three distinct levels of access control for document security, catering to multiple use cases and converts documents to Smart Documents without altering the reader's experience. Allowing senders and admins to monitor who is reading what, when, where, how often, and more. Senders can embed robust access restrictions directly into the file, restricting access by geographical or internet location, allowing or restricting forwarding, and more.[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="5439" img_size="full" alignment="center" qode_css_animation="" css=".vc_custom_1656499876296{background-color: #ffffff !important;}"][vc_column_text css=".vc_custom_1564910827478{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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string(5217) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner width="1/2"][vc_column_text css=""]Howden’s specialist practice for financial advisers, mortgage and insurance brokers is one of the largest teams in this specialist sector.
Did you know that we act for more than 40% of the financial advisory market including one-third of the largest 100 firms? Or that we have access to exclusive insurance facilities simply not available elsewhere?
Protean, now a part of Howden, previously held a long-standing partnership with APCC. We are delighted to continue this relationship under the Howden brand. Many of our specialists have decades of experience in placing insurance programmes specifically for these professions. Our longevity within the sector means we deliver a friendly and professional service; we understand the pressures that regulated firms are under and can share our experience of guiding clients through many complete market cycles. We have strong relationships with insurers, and if the worst happens then we help our clients navigate their way through a broad range of claims, trying to take as much stress out of the situation as possible.
Insurance coverage
Many of our clients initially come to us for advice regarding their professional indemnity (PI) insurance. However, we also offer the full spectrum of services relevant to regulated advice businesses including cyber liability, directors’ & officers’ liability (D&O) and employee benefits.
In particular, we have seen that cyber-crime is increasing, with Artificial Intelligence (AI) being used to create convincing “deep-fake” frauds. Unfortunately, if a firm’s security is breached, there is a high risk of losing money and/or client data and the long-term reputational damage can ultimately be catastrophic.
If you would like to speak to one of our experts about any of your clients’ insurance requirements, please get in touch. You can also find out more information on our website. [
link]
Contact us:
Chris Davies, Executive Director
E:
Chris.davies@howdengroup.com
M: +44 (7541) 639030
Julian Brincat, Director
E:
julian.brincat@howdengroup.com
M: + +44 (7562) 943 515
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string(5609) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner width="1/2"][vc_column_text]SanctionsSearch.com was set up in response to the fact that all firms undertaking any sort of financial transaction, or providing advice on any financial transaction, need to ensure that their client is not on the Financial Sanctions list.
Whilst the list is freely available to all who need to see it, SanctionsSearch.com realised that firms would still find it extremely difficult to demonstrate to their regulator, or indeed the HM Treasury, that checks had taken place to ensure that their clients were not on the list.
As such, SanctionsSearch.com is all about evidence. Through the site we aim to provide you with a robust audit trail to allow you to ‘evidence’ and ‘demonstrate’ that you initially checked that clients were not on the Financial Sanctions List and that you regularly screen your client bank against future lists.
Based on the Wirral, SanctionsSearch.com was created by Professional Office Ltd. a company which has traded since 2006 as a Partnership and was subsequently incorporated in August 2008.
Its two directors are Joanne Nock ACCA and Chris Clare, both highly experienced in the fields of financial services and accountancy. Professional Office is a company which specialises in delivering office solutions from software and web development right through to virtual secretaries, call routing, accountancy and book-keeping.
Having worked with many companies over the last few years, Professional Office Ltd. always aims to develop systems that make the process of doing business easy, affordable and seamless. From the development of lead generation and lead management right through to prompt invoicing and data management systems, Professional Office has already made its mark in the field of bespoke software development and has packages currently deployed in many companies under licence agreements.
Initial funding for SanctionsSearch.com was provided entirely by the Directors and as a result, after just two years of trading, Professional Office Ltd. is fortunate to have a positive balance sheet, with no debts or liabilities whatsoever. The (now re-paid) up front funding allowed much time, resource and expertise to be spent on researching and developing the SanctionsSearch.com proposition to the point where our belief is that it not only matches but betters anything else currently available. The company’s agility will also, we believe, allow further ongoing developments that may be required in future, thus we can ensure that it remains cutting edge and ahead of its competitors without negatively impacting the company’s bottom line. Professional Office has a development team lead by one lead programmer with two supporting programmers as well as a full time designer. The programming team is qualified in PHP, Perl, MySQL, ASP.NET, C#, SQL Server, HTML, XHTML,CSS, JavaScript and much more.[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="444" img_size="full" alignment="center" qode_css_animation="" css=".vc_custom_1580905462203{background-color: #ffffff !important;}"][vc_column_text css=".vc_custom_1564910827478{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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[/vc_column_text][vc_column_text][xyz-ips snippet="firms-served-list"][xyz-ips snippet="Firms-Served-Affiliates"][/vc_column_text][/vc_column_inner][/vc_row_inner][/vc_column][vc_column width="1/3" css=".vc_custom_1572258962179{border-left-width: 1px !important;border-left-color: #999999 !important;border-left-style: solid !important;}"][vc_widget_sidebar sidebar_id="general-sidecolumn"][/vc_column][/vc_row]"
["post_title"]=>
string(25) "Allegiance Insure Limited"
["post_excerpt"]=>
string(207) "Allegiance Insure is a boutique Financial Lines and Professional Indemnity Insurance broker. Based on Lime street, next to Lloyds of London, we have excellent relationships with specialist insurance markets."
["post_status"]=>
string(7) "publish"
["comment_status"]=>
string(6) "closed"
["ping_status"]=>
string(6) "closed"
["post_password"]=>
string(0) ""
["post_name"]=>
string(25) "allegiance-insure-limited"
["to_ping"]=>
string(0) ""
["pinged"]=>
string(0) ""
["post_modified"]=>
string(19) "2023-01-24 10:30:52"
["post_modified_gmt"]=>
string(19) "2023-01-24 10:30:52"
["post_content_filtered"]=>
string(0) ""
["post_parent"]=>
int(0)
["guid"]=>
string(55) "https://apcc.org.uk/?post_type=ouraffiliates&p=256"
["menu_order"]=>
int(0)
["post_type"]=>
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["post_mime_type"]=>
string(0) ""
["comment_count"]=>
string(1) "0"
["filter"]=>
string(3) "raw"
}
}
["total_posts":"Barn2\Plugin\Posts_Table_Pro\Table_Query":private]=>
NULL
["total_filtered_posts":"Barn2\Plugin\Posts_Table_Pro\Table_Query":private]=>
NULL
}
["hooks"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Hooks)#10696 (4) {
["hooks":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\WP_Scoped_Hooks":private]=>
array(2) {
["added"]=>
array(0) {
}
["removed"]=>
array(0) {
}
}
["start_hook":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\WP_Scoped_Hooks":private]=>
NULL
["end_hook":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\WP_Scoped_Hooks":private]=>
NULL
["args"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Args)#10666 (59) {
["args":"Barn2\Plugin\Posts_Table_Pro\Table_Args":private]=>
array(55) {
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NULL
["user_search_term"]=>
NULL
["search_filters"]=>
array(0) {
}
["columns"]=>
string(61) "image, title,excerpt,categories:Region,cf:telephone,tax:level"
["widths"]=>
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["auto_width"]=>
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["lazy_load"]=>
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string(5) "70x70"
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[1]=>
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string(0) ""
}
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string(4) "70px"
[1]=>
string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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}
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}
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}
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}
}
["data_table"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Data_Table)#10699 (7) {
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Data_Table":private]=>
array(6) {
["id"]=>
string(22) "ptp_045fcf3f50121275_1"
["class"]=>
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["width"]=>
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["data-config"]=>
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["data-filters"]=>
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["data-order"]=>
string(2) "[]"
}
["header":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Data_Table":private]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row)#10643 (2) {
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row":private]=>
array(0) {
}
["cells":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row":private]=>
array(8) {
["image"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10709 (3) {
["data"]=>
string(5) "Image"
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array(6) {
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string(4) "70px"
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int(2)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["title"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10755 (3) {
["data"]=>
string(5) "Title"
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array(6) {
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string(0) ""
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bool(true)
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int(1)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
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object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10677 (3) {
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string(7) "Summary"
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array(6) {
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string(0) ""
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int(4)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["categories"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10713 (3) {
["data"]=>
string(6) "Region"
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array(6) {
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string(0) ""
["data-name"]=>
string(10) "categories"
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bool(true)
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bool(true)
["data-width"]=>
string(0) ""
["data-priority"]=>
int(6)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["cf:telephone"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10708 (3) {
["data"]=>
string(9) "Telephone"
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(6) {
["class"]=>
string(0) ""
["data-name"]=>
string(12) "cf_telephone"
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bool(true)
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bool(true)
["data-width"]=>
string(0) ""
["data-priority"]=>
string(0) ""
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["tax:level"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10705 (3) {
["data"]=>
string(6) "levels"
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array(6) {
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string(0) ""
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string(9) "tax_level"
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bool(true)
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bool(true)
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string(0) ""
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string(0) ""
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["hf:categories"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10704 (3) {
["data"]=>
string(13) "hf:categories"
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array(4) {
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string(13) "hf_categories"
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string(8) "category"
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bool(true)
["data-visible"]=>
bool(false)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
["hf:tax:level"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10703 (3) {
["data"]=>
string(12) "hf:tax:level"
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array(4) {
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string(12) "hf_tax_level"
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string(5) "level"
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bool(true)
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bool(false)
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(true)
}
}
}
["footer":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Data_Table":private]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row)#10700 (2) {
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array(0) {
}
["cells":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row":private]=>
array(0) {
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}
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array(35) {
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object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row)#10686 (2) {
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array(2) {
["id"]=>
string(13) "post-row-9919"
["class"]=>
string(59) "post-row post-type-ouraffiliates ouraffiliates-9919 publish"
}
["cells":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row":private]=>
array(8) {
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object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10650 (3) {
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string(0) ""
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
["title"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10707 (3) {
["data"]=>
string(94) "
Opus Restructuring LLP"
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
["excerpt"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10741 (3) {
["data"]=>
string(72) "Opus assists clients in taking command and control of financial …"
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
}
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bool(false)
}
["categories"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10717 (3) {
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string(0) ""
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array(0) {
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
["cf:telephone"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10718 (3) {
["data"]=>
string(11) "07469859111"
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
}
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bool(false)
}
["tax:level"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10719 (3) {
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string(0) ""
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
["hf:categories"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10720 (3) {
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string(0) ""
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array(0) {
}
["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
["hf:tax:level"]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell)#10721 (3) {
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string(0) ""
["attributes":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
array(0) {
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["is_heading":"Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Cell":private]=>
bool(false)
}
}
}
[1]=>
object(Barn2\Plugin\Posts_Table_Pro\Dependencies\Lib\Table\Html_Table_Row)#10649 (2) {
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Delta Cyber Security"
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Ansarada"
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Howden"
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int(500)
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string(4) "date"
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string(4) "desc"
["post_type"]=>
string(13) "ouraffiliates"
["post_mime_type"]=>
NULL
["status"]=>
array(1) {
[0]=>
string(7) "publish"
}
["category"]=>
string(0) ""
["exclude_category"]=>
array(0) {
}
["tag"]=>
string(0) ""
["term"]=>
string(0) ""
["exclude_term"]=>
string(0) ""
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bool(false)
["cf"]=>
string(0) ""
["year"]=>
bool(false)
["month"]=>
bool(false)
["day"]=>
bool(false)
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string(0) ""
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array(0) {
}
["include"]=>
array(0) {
}
["search_term"]=>
string(0) ""
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bool(false)
["offset"]=>
int(0)
["user_search_term"]=>
string(0) ""
["search_filters"]=>
array(0) {
}
}
}
["config_builder":"Barn2\Plugin\Posts_Table_Pro\Posts_Table":private]=>
object(Barn2\Plugin\Posts_Table_Pro\Config_Builder)#10697 (3) {
["id"]=>
string(22) "ptp_045fcf3f50121275_1"
["args"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Args)#10666 (59) {
["args":"Barn2\Plugin\Posts_Table_Pro\Table_Args":private]=>
array(55) {
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NULL
["user_search_term"]=>
NULL
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array(0) {
}
["columns"]=>
string(61) "image, title,excerpt,categories:Region,cf:telephone,tax:level"
["widths"]=>
bool(false)
["auto_width"]=>
bool(true)
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bool(false)
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bool(false)
["responsive_control"]=>
string(6) "inline"
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string(9) "child_row"
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bool(true)
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bool(false)
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bool(true)
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bool(true)
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int(15)
["content_length"]=>
string(2) "15"
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string(2) "10"
["links"]=>
string(34) "title,categories,tags,terms,author"
["lazy_load"]=>
bool(false)
["cache"]=>
bool(false)
["image_size"]=>
string(5) "70x70"
["lightbox"]=>
bool(false)
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bool(false)
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bool(false)
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bool(false)
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bool(false)
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bool(false)
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string(14) "simple_numbers"
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string(3) "top"
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string(3) "top"
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string(6) "bottom"
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string(6) "bottom"
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bool(true)
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string(4) "View"
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string(2) "-1"
["post_limit"]=>
string(3) "500"
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string(4) "date"
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string(13) "ouraffiliates"
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bool(false)
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bool(false)
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bool(false)
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bool(false)
}
["columns"]=>
array(6) {
[0]=>
string(5) "image"
[1]=>
string(5) "title"
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string(7) "excerpt"
[3]=>
string(10) "categories"
[4]=>
string(12) "cf:telephone"
[5]=>
string(9) "tax:level"
}
["headings"]=>
array(6) {
[0]=>
string(0) ""
[1]=>
string(0) ""
[2]=>
string(0) ""
[3]=>
string(6) "Region"
[4]=>
string(0) ""
[5]=>
string(0) ""
}
["widths"]=>
array(6) {
[0]=>
string(4) "70px"
[1]=>
string(4) "auto"
[2]=>
string(4) "auto"
[3]=>
string(4) "auto"
[4]=>
string(4) "auto"
[5]=>
string(4) "auto"
}
["auto_width"]=>
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array(0) {
}
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array(0) {
}
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string(6) "inline"
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string(9) "child_row"
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bool(true)
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bool(false)
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string(1) "1"
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array(2) {
[0]=>
string(10) "categories"
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string(9) "tax:level"
}
["filter_headings"]=>
array(2) {
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string(0) ""
[1]=>
string(0) ""
}
["scroll_offset"]=>
int(15)
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int(15)
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string(5) "title"
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string(10) "categories"
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string(4) "tags"
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string(5) "terms"
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string(6) "author"
}
["lazy_load"]=>
bool(false)
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bool(false)
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array(2) {
[0]=>
string(2) "70"
[1]=>
string(2) "70"
}
["lightbox"]=>
bool(false)
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bool(false)
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string(0) ""
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array(0) {
}
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string(0) ""
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string(14) "simple_numbers"
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string(3) "top"
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string(6) "bottom"
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string(6) "bottom"
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bool(true)
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string(4) "View"
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int(-1)
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int(500)
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string(4) "date"
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string(4) "desc"
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string(13) "ouraffiliates"
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NULL
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array(1) {
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string(7) "publish"
}
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string(0) ""
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array(0) {
}
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string(0) ""
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string(0) ""
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string(0) ""
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bool(false)
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string(0) ""
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bool(false)
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bool(false)
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}
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array(0) {
}
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bool(false)
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int(0)
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string(0) ""
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array(0) {
}
}
["columns"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Columns)#10670 (1) {
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object(Barn2\Plugin\Posts_Table_Pro\Table_Args)#10666 (59) {
["args":"Barn2\Plugin\Posts_Table_Pro\Table_Args":private]=>
array(55) {
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NULL
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NULL
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array(0) {
}
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string(61) "image, title,excerpt,categories:Region,cf:telephone,tax:level"
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string(6) "inline"
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bool(true)
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int(15)
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string(2) "15"
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string(2) "10"
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string(34) "title,categories,tags,terms,author"
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string(5) "70x70"
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string(14) "simple_numbers"
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string(3) "top"
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string(6) "bottom"
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string(6) "bottom"
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string(2) "-1"
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string(3) "500"
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}
["columns"]=>
array(6) {
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string(5) "image"
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string(5) "title"
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string(7) "excerpt"
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string(10) "categories"
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string(12) "cf:telephone"
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string(9) "tax:level"
}
["headings"]=>
array(6) {
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string(0) ""
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string(0) ""
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string(0) ""
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string(6) "Region"
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string(0) ""
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string(0) ""
}
["widths"]=>
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string(4) "70px"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(9) "tax:level"
}
["filter_headings"]=>
array(2) {
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string(0) ""
}
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string(5) "terms"
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string(6) "author"
}
["lazy_load"]=>
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string(2) "70"
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string(2) "70"
}
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}
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}
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}
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string(0) ""
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array(0) {
}
}
}
}
["cache":"Barn2\Plugin\Posts_Table_Pro\Posts_Table":private]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Cache)#10698 (3) {
["id"]=>
string(22) "ptp_045fcf3f50121275_1"
["args"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Args)#10666 (59) {
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array(55) {
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NULL
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NULL
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array(0) {
}
["columns"]=>
string(61) "image, title,excerpt,categories:Region,cf:telephone,tax:level"
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bool(false)
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bool(false)
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bool(false)
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string(6) "inline"
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string(9) "child_row"
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string(2) "15"
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string(2) "10"
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bool(false)
}
["columns"]=>
array(6) {
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string(5) "title"
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string(10) "categories"
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string(12) "cf:telephone"
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string(9) "tax:level"
}
["headings"]=>
array(6) {
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string(0) ""
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string(0) ""
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string(0) ""
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string(0) ""
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string(0) ""
}
["widths"]=>
array(6) {
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string(4) "70px"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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string(4) "auto"
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array(0) {
}
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string(9) "child_row"
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string(10) "categories"
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string(9) "tax:level"
}
["filter_headings"]=>
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[1]=>
string(0) ""
}
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string(4) "tags"
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string(6) "author"
}
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bool(false)
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[1]=>
string(2) "70"
}
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}
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string(7) "publish"
}
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array(0) {
}
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string(0) ""
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string(0) ""
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string(0) ""
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bool(false)
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}
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array(0) {
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int(0)
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string(0) ""
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array(0) {
}
}
["query"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Query)#10668 (4) {
["args"]=>
object(Barn2\Plugin\Posts_Table_Pro\Table_Args)#10666 (59) {
["args":"Barn2\Plugin\Posts_Table_Pro\Table_Args":private]=>
array(55) {
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NULL
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NULL
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array(0) {
}
["columns"]=>
string(61) "image, title,excerpt,categories:Region,cf:telephone,tax:level"
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bool(false)
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bool(true)
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bool(false)
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bool(false)
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string(6) "inline"
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string(9) "child_row"
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bool(true)
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int(15)
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string(2) "15"
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string(2) "10"
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bool(false)
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string(5) "70x70"
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bool(false)
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string(3) "top"
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string(6) "bottom"
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string(6) "bottom"
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bool(true)
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string(4) "View"
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string(2) "-1"
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string(3) "500"
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string(4) "date"
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string(13) "ouraffiliates"
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bool(false)
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bool(false)
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bool(false)
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bool(false)
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bool(false)
["cf"]=>
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Onyx Insurance Brokers Limited
As a specialised Lloyd’s of London insurance brokerage, we concentrate on professional indemnity insurance, tailored to the specific needs of the UK Financial Services sector. Our deep understanding of industry-specific risks ensures comprehensive protection for our clients against potential liabilities.
We conduct thorough evaluations of your current insurance program to identify potential vulnerabilities, ensuring your coverage is comprehensive and suited to your business needs. Our team is here to support you in the event of a claim, working on your behalf to secure favourable outcomes. We provide bespoke insurance policies that match the unique requirements and risk profiles of your business.
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Info@OnyxInsurance.co.uk
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More business. Less busy-ness.
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Quantuma Advisory Limited
Celebrating its 10th anniversary in 2023, Quantuma is an independent advisory firm serving the needs of corporate companies and their stakeholders.
We work alongside banks, major law practices, private equity houses, hedge funds, asset-based lenders, brokers, accountants, and regulators to support businesses and their clients. Our capabilities include extracting value from underperforming businesses, transactions to maximise stakeholder value, resolving business disputes, mitigating business risks, identifying and recovering assets and managing operational and financial challenges.
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Our team of experienced compliance and risk specialists have worked in the industry as a team for more than 7 years. Regulatory hosting is all we do. We look to partner with our clients to help them build their business by enabling them to concentrate on their core business activities whilst we maintain compliance and risk oversight. We work with Hedge Funds, Private Equity, Corporate Finance, and Real Estate firms.
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With focused specialists we have expertise in banking, finance and regulatory law.
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Redress arising from pension transfer or income drawdown advice can happen years after the fact.
First Actuarial has a team of defined benefit pension experts with decades of experience in valuing defined benefit pension liabilities. Our team, led by Sarah Abraham, can use our specialist knowledge to:
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Leo RegTech Limited developed Leo, the all-in-one compliance software designed for compliance professionals and regulated firms. Leo automates compliance workflows and provides you with the tools to assess a firm’s risk profile and build a monitoring program, manage employees’ compliance tasks and responsibilities, deliver and monitor online training, and manage all other aspects of the compliance framework.
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www.leo.tech
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Our account handlers have over 20 years’ experience in this sector and have an in-depth knowledge of the regulatory/coverage specific issues currently affecting IFAs and Mortgage Brokers.
Some key features of the policies that we can arrange:-
- Competitive premium rates without restricting coverage
- Retrospective cover for Network Members
- Coverage for claims relating to the insolvency of financial institutions (Many policies exclude this event)
- Cover for Defined Benefit Pension Transfer advice
- ‘A’ rated insurers, Lloyd’s & Company Markets
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4th Floor Copenhagen House,
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Cascade is a Compliance, Administration and Governance Software solution.
Easily adaptable, “no coding required”, it is used by compliance consultants to help implement the compliance policies they create for their clients. Turning that 100/200 page PDF of their compliance manual into a working solution.
This helps the client get all members of staff up to speed on documents required, questionnaires required etc. dependent upon the role the counterparty plays to the client. This cuts down on interpretation issues and also ensures that you never ask for the same document twice.
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We provide solutions to create, preserve and recover value across a range of complex situations from multinational organisations to small enterprises. With over 700 team members, including 101 partners operating from 30 locations across the UK and overseas (Cyprus and Isle of Man), we provide our clients with the advice needed to guide them through every stage of the corporate lifecycle.
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Advisory services to regulated firms and individuals
Our advisory professionals provide advice and leadership through times of strategic change or financial and non-financial challenge, delivering tangible results for both businesses and individuals.
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We are a market leading team specialising in the financial services sector, with particular emphasis on representing a range of firms and individuals who are facing issues with the FCA. Our team and the individuals in it, which includes former FCA regulators, are highly ranked in the legal directories.
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Extensive experience in dealing with FCA investigations.
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Superb team for defence Financial Services work….
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string(9894) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner el_class="Simplifying compliance requirements around identifying and reporting on financial vulnerability Comentis provides regulated firms with the ability to consistently and objectively identify financially vulnerable clients through a simple to deploy, clinically developed online assessment process. The unique assessment process flags those at risk and allows advisers to log both interventions and outcomes. All of which feeds into our vulnerability dashboard which has been built as part of the FCA innovation Hub program. Assessments can be discretely integrated into existing client journeys (onboarding, factfind, KYC) & advice processes, providing a seamless experience for clients whilst enabling your clients to meet growing regulatory requirements more easily. You can find more information and an explainer video on our Financial Vulnerability webpage How it works Through a limited number of non-invasive questions, clinically developed algorithms identify customers at risk of financial vulnerability, including resilience and capability drivers. On completion of an assessment a detailed vulnerability report is created for the client’s file. Through our intervention log, any recorded actions are also incorporated into each report, providing a complete audit trail. Comentis is also integrated in a growing number of client management platforms including Intelliflo, Time4Advice and Iress. Unrivalled Analytics and Reporting Comentis provides compliance firms with unrivalled analytics and reporting around financial vulnerability and mental capacity. Using the primary data from the assessments, our App provides clear and straightforward reporting on: • User analytics – what advisers have done what • Risks Identified – what vulnerability risks exist in a client base • Interventions and outcomes – what actions have been taken and what risks have been confirmed, mitigated • access to our Vulnerability Dashboard, providing oversight on vulnerabilities. By ensuring your clients use our App you will not only be ensuring they consistently identify vulnerable clients, but also make the future recording of actions and reporting to the regulator easier, quicker and more accurate. Class leading expertise What sets Comentis apart is its clinical pedigree and team of inhouse experts, each contributing years of experience in the fields of mental health assessments, clinical psychology, and mental capacity. Developed alongside financial services professionals, Comentis delivers an unrivalled solution for the identification of the financially vulnerable. Comentis has gained support from the FCA in developing the App as part of the FCA Innovation Hub Program. They are also subject matter experts on the PFS Vulnerability Taskforce and members of the TISA vulnerability Working Group and TisaTech. “Vulnerability is so challenging for financial advisers to identify objectively, yet in these times more financial advice customers than ever are likely to fall into that category. Not only does the Comentis solution help firms meet their regulatory obligations, it also enables advisers to evidence this and sensitively approach vulnerability, leading to better outcomes for the end-customer.” Marjolaine Quirke Director of Client Delivery, Tenet Compliance Services Contact details Email: Joe@comentis.co.uk Tel: 07496244431 www.comentis.co.uk/financial-vulnerability" width="1/2"][vc_column_text css=""]
Comentis
Simplifying compliance requirements around the identification and reporting of financial vulnerability
Comentis is the duty of care assessment company. By uniquely combining clinical and technical expertise, we enable regulated firms to consistently and objectively identify financially vulnerable customers/clients through an easy-to-use, clinically developed digital assessment which flags those at risk and allows users to log interventions and outcomes.
An assessment can be discretely integrated into existing sales journeys/advice processes, providing a seamless experience and enabling your clients to meet FCA regulatory requirements more easily. We have developed specific assessments for the following sectors:
- Wealth and Financial Advice
- Mortgages and Later Life Lending
- Consumer/ Retail Finance
- Automotive Finance
You can find more information
here.
How it works
Customers/clients answer a short online questionnaire with a small number of non-invasive questions. The algorithms then identify those who are at risk of financial vulnerability, as defined by the FCA’s vulnerability drivers including resilience and capability.
On completion of an assessment, a detailed vulnerability report is created for the individual’s file and any recorded actions are saved in an intervention log, providing a complete audit trail.
Unrivalled Analytics and Reporting
Comentis provides unrivalled analytics and reporting around financial vulnerability with a vulnerability dashboard, giving you full oversight. Using the primary data from the assessments, our platform produces clear and straightforward reporting on:
- User analytics
- Identified risks – providing oversight on the whole customer/client base
- Interventions and outcomes – what actions have been taken and what risks have been confirmed and mitigated
By using the assessment platform, your clients will not only be ensuring the consistent and objective identification of vulnerable customers/clients, but also make the future recording of actions and reporting to the FCA easier, quicker and more accurate.
Class leading expertise
What sets Comentis apart is its clinical pedigree and team of inhouse experts, each with years of experience in the fields of mental health assessments, clinical psychology, and mental capacity. Developed alongside financial services professionals, Comentis delivers an unrivalled solution for the identification of the financially vulnerable.
Comentis has gained support from the FCA in developing its platform as part of the FCA Innovation Hub Program. They are also subject matter experts on the PFS Vulnerability Taskforce and members of the TISA vulnerability Working Group and TisaTech.
“Vulnerability is so challenging for financial advisers to identify objectively, yet in these times more financial advice customers than ever are likely to fall into that category. Not only does the Comentis solution help firms meet their regulatory obligations, it also enables advisers to evidence this and sensitively approach vulnerability, leading to better outcomes for the end-customer.”
Marjolaine Quirke
Director of Client Delivery, Tenet Compliance Services
Contact details
Email:
hello@comentis.co.uk
Tel:
0203 3282 0582
www.comentis.co.uk/financial-vulnerability
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Worried about how to protect your business from ransomware attacks and email account takeover?
The solution is Mitigo. They specialise in the financial services sector. Their support has been designed to safeguard against cyber attacks and provide businesses with operational resilience. After assessing your risks, Mitigo will take care of the three areas needed to keep your business safe:
Technology – includes detailed technology assessments, penetration testing, and vulnerability scanning
People – includes e-learning, testing, and simulated phishing
Governance – includes policies, customised handbook, and risk management framework.
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Our offering includes: Staff Augmentation and Interim Resourcing
If you would like to join our contactor bench or if you are looking for excellent contractors to support your business, please feel free to reach out for a confidential discussion on how we can assist you with your search or provide you with right talent and expertise.
Tel: 0207 010 1153 or Email: bhandelaar@danosconsulting.com
***REFER A PROFESSIONAL*** If you know a professional with the skills and experience to make a great compliance, risk or legal consultant, please recommend them to us. We’ll thank you with a £250 retail voucher if they are placed in a role through Danos Consulting* - Find Out More Visit Our Referral Scheme
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RPOST UK LIMITED
RPost® is the award-winning global leader in secure and certified digital transactions. With our three main platforms, RMail®, RSign® and RDocs™, we are the perfect complement to our customers' technology stack when it comes to transacting in the digital world in a secure, efficient, and compliant manner.
RMail®
- Email Security Solution
Track, prove, e-sign, encrypt, share, certify, digitize, control, pre-empt – all-in-one
Looking for an all-in-one service experience? RMail® offers the most secure and certified email security capabilities for privacy and compliance and eSignatures for easy digitization of workflows, e-delivery tracking, and managed file transfer to simplify secure sharing of large files. Its AI-infused apps minimize human errors to help you prevent data leaks while document-level digital rights management ensures you have document control even after transmission.
With RMail®, APCC members get:
- Dynamic Encryption: Far beyond opportunistic TLS, RMail intelligently delivers email messages and attachments encrypted to the recipient’s inbox with no need for the recipient to register, click links or install any software. The sender is then returned a Registered Encryption™ receipt for auditable proof-of-fact of encryption and compliance with data privacy laws and regulations.
- Registered Email™ certified e-delivery tracking and proofprovides email open/delivery tracking and evidence, with timestamped proof of original content legally delivered. It returns a court-accepted timestamped Registered Receipt™ email without requiring any recipient action.
- Email Eavesdropping™ Detection is built on RPost® proprietary Active Tracker™ technology, which utilizes advanced AI algorithms and real-time internet data analysis to monitor and detect unusual and/or potentially hazardous activities involving outbound email. If such activity is detected with an email after delivery and onward, RMail® instantly generates an Email Eavesdropping™ alert, including robust forensic details such as activity timestamp, IP address, geolocation, network provider, detection of VPN anonymizer, unusual device language and operating system, device type, and more. Admins can configure what constitutes high, medium and low risk to their normal business operations, and adjust the sensitivity throttle of the alerts.
- Secure Large File Share— senders can easily attach and track up to 1GB of files from Outlook or the RMail Web app through the secure file share Senders can securely send files to any recipient with encryption and configurable self-purging options (from 1 to 90 days) in a one-time online storage box that eliminates the risk of recipients being able to see the sender’s cloud storage file structure.
- E-Sign is the simplest, most affordable, web-based electronic signature feature within RMail, which makes it easy for senders to send documents for e-signing directly from their email inbox using any desktop or mobile web browser.
- Disappearing Ink™and ViewProof™ — senders can tag certain parts of an email message to disappear from within the email after delivery after a designated amount of time since sending, number of views, or time per view. Senders can receive verifiable proof that the recipient has viewed selected tagged parts of an email.
- Redact Reply™– senders can redact particularly sensitive text in a sent message such that if the recipient replies, that sensitive text is automatically removed from the reply email thread.
- SideNote® service makes it easy to append a private “sticky note” to a copied or blind copied recipient, so they have context as to why they were copied. With Disappearing Ink™ enabled, that note can be set for one-time-view and to disappear from the recipient inbox after.
- RMail Recommends™ AI-infused data leak protection, which automatically trains senders on which messages should be treated with special care, and have special RMail features applied, in-the-moment of sending. Dynamically adapts to prevent data leaks and automate email encryption.
- Right Recipient™ mis-addressing and email impostor human error prevention: AI infused service that, in the moment of sending, and if a message is detected to contain sensitive content, automatically reviews the recipient addresses before transmission, determines if the sender should be prompted to verify whether they really want to send sensitive information to the particular recipients, alerts the sender if they are sending to what could be a fake domain or newly created domain used by an impostor, and then if approved for sending, applies the appropriate level of encryption to the message enroute.
- Anti-Whaling™ email impostor protection– Anti-Whaling technology prevents targeted ‘spear-phishing’ and Business Email Compromise (BEC) attacks and alerts the recipient at the moment of reading or attempting to reply or forward.
- RMail Wire Fraud Protection™is a specialized service to assure the right message is sent to the right recipient, with options to apply message-level encryption automatically if the message is related to bill payments, invoices, or wire transfers.
RSign® - complete and robust award-winning eSign & eForms solution by RPost®, recognized as a worldwide leader by IDC. RSign® ensures convenience, compliance, and security for your transactions, allowing users to have more time to do what they do best. With RSign®, you can simply drag, drop and send.
Standardize enterprise eSign workflows with shareable Templates and Rules. Use RForms™ powerful e-forms for on-demand data capture and signoff, allow signers to add attachments, automatic chasing and even send multiple individual eSign requests at once with Bulk Send.
Empowers senders and admins with the flexibility to send eSign notifications and access codes independently via email, SMS, or any combination of both. Accelerate your business processes, and significantly reduce your eSignature costs.
RDocs™ – Rights Protected Documents™ is the most innovative solution for secure sharing. RDocs™ allows you to share a Rights Protected Document (RPD) while keeping complete ownership and control after the share.
It is like having a remote control for your shared documents, monitor reader activity, ban readers individually or kill the content remotely after sending. RDocs™ offers three distinct levels of access control for document security, catering to multiple use cases and converts documents to Smart Documents without altering the reader's experience. Allowing senders and admins to monitor who is reading what, when, where, how often, and more. Senders can embed robust access restrictions directly into the file, restricting access by geographical or internet location, allowing or restricting forwarding, and more.[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="5439" img_size="full" alignment="center" qode_css_animation="" css=".vc_custom_1656499876296{background-color: #ffffff !important;}"][vc_column_text css=".vc_custom_1564910827478{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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Did you know that we act for more than 40% of the financial advisory market including one-third of the largest 100 firms? Or that we have access to exclusive insurance facilities simply not available elsewhere?
Protean, now a part of Howden, previously held a long-standing partnership with APCC. We are delighted to continue this relationship under the Howden brand. Many of our specialists have decades of experience in placing insurance programmes specifically for these professions. Our longevity within the sector means we deliver a friendly and professional service; we understand the pressures that regulated firms are under and can share our experience of guiding clients through many complete market cycles. We have strong relationships with insurers, and if the worst happens then we help our clients navigate their way through a broad range of claims, trying to take as much stress out of the situation as possible.
Insurance coverage
Many of our clients initially come to us for advice regarding their professional indemnity (PI) insurance. However, we also offer the full spectrum of services relevant to regulated advice businesses including cyber liability, directors’ & officers’ liability (D&O) and employee benefits.
In particular, we have seen that cyber-crime is increasing, with Artificial Intelligence (AI) being used to create convincing “deep-fake” frauds. Unfortunately, if a firm’s security is breached, there is a high risk of losing money and/or client data and the long-term reputational damage can ultimately be catastrophic.
If you would like to speak to one of our experts about any of your clients’ insurance requirements, please get in touch. You can also find out more information on our website. [
link]
Contact us:
Chris Davies, Executive Director
E:
Chris.davies@howdengroup.com
M: +44 (7541) 639030
Julian Brincat, Director
E:
julian.brincat@howdengroup.com
M: + +44 (7562) 943 515
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Whilst the list is freely available to all who need to see it, SanctionsSearch.com realised that firms would still find it extremely difficult to demonstrate to their regulator, or indeed the HM Treasury, that checks had taken place to ensure that their clients were not on the list.
As such, SanctionsSearch.com is all about evidence. Through the site we aim to provide you with a robust audit trail to allow you to ‘evidence’ and ‘demonstrate’ that you initially checked that clients were not on the Financial Sanctions List and that you regularly screen your client bank against future lists.
Based on the Wirral, SanctionsSearch.com was created by Professional Office Ltd. a company which has traded since 2006 as a Partnership and was subsequently incorporated in August 2008.
Its two directors are Joanne Nock ACCA and Chris Clare, both highly experienced in the fields of financial services and accountancy. Professional Office is a company which specialises in delivering office solutions from software and web development right through to virtual secretaries, call routing, accountancy and book-keeping.
Having worked with many companies over the last few years, Professional Office Ltd. always aims to develop systems that make the process of doing business easy, affordable and seamless. From the development of lead generation and lead management right through to prompt invoicing and data management systems, Professional Office has already made its mark in the field of bespoke software development and has packages currently deployed in many companies under licence agreements.
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string(19) "2019-09-10 16:25:08"
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string(3276) "[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_separator type="normal" thickness="0" up="90"][/vc_column][/vc_row][vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern" el_class="full_section_inner2" z_index=""][vc_column width="2/3"][vc_row_inner row_type="row" type="full_width" text_align="left" css_animation=""][vc_column_inner width="1/2"][vc_column_text]Global Relay is the world's leading provider of cloud-based archiving and messaging services. We design and develop cutting edge technology that is disrupting traditional thinking about how to manage big data and driving new possibilities for organizations to benefit from the cloud.
Since 1999, Global Relay has assisted more than 23,000 firms worldwide to comply with regulatory requirements. Our technologies have become worldwide benchmarks for quality in the retention, protection and management of electronic business records.[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="438" img_size="full" alignment="center" qode_css_animation="" css=".vc_custom_1580905747540{background-color: #ffffff !important;}"][vc_column_text css=".vc_custom_1564910827478{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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Firms Served
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Additionally David worked as a part time Compliance Consultant from 1997 to 2008 thus has a good understanding of how consultancies work and their needs although no longer offers consulting services himself (apart from acting as an NED to firms seeking authorisation) whilst we also operate in Dublin, Geneva, Luxembourg & Madrid, all in partnership with locally based Compliance Officers (though all originally professionally qualified in the UK) if you or your clients need support operating or recruiting in those countries.
So whether you are recruiting permanent or temporary resources for your own firm (where we offer a discount to APCC members) or for clients (where we have successfully partnered with several APCC member firms over many years and can offer introductory commissions), please contact David for an initial discussion/meeting.[/vc_column_text][/vc_column_inner][vc_column_inner width="1/2"][vc_single_image image="260" img_size="full" alignment="center" qode_css_animation="" css=".vc_custom_1580904739380{background-color: #ffffff !important;}"][vc_column_text css=".vc_custom_1564910827478{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 5px !important;padding-right: 5px !important;padding-bottom: 2px !important;padding-left: 5px !important;background-color: #00ace9 !important;}"]
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