From Tribunal Risk to a
Clean, Compliant Exit
How a North West financial services firm dealt with a senior employee's performance and conduct — and came out the other side with a clean exit and the processes to stop it happening again.
North West
ERA 2025 Compliant
Financial Services
18 EmployeesThe Situation
A regulated financial services firm in the North West, 18 staff. One of their long-serving senior people had become a real problem — both the performance and the conduct — and in a regulated business like theirs, that's not something you can let drift.
But they had nothing to stand on. No performance records, no disciplinary or grievance procedure, no recent appraisals. They knew they had to do something, and they were just as scared that doing it wrong would land them in a tribunal.
So, like a lot of business owners, they did nothing. For far too long. The problem got worse, the rest of the team noticed, and the directors stopped sleeping properly.
What DaisyHR Did
We took it off the directors' hands and ran it properly — the way it has to be done if it's ever questioned:
Did an HR health check and built them a proper disciplinary and grievance procedure from scratch
Walked the directors through a fair process that followed the Acas Code to the letter
Handled the hard conversations ourselves, so the owners didn't have to
Brought all 18 contracts up to ERA 2025 standard while we were at it
Wrote everything down as we went, so the firm was covered whatever happened next
The Outcome
A Clean Exit
It ended in a fair exit both sides could move on from, and one that was properly documented.
Tribunal Risk Gone
Because the process was done right, no tribunal claim came of it.
Process in Place
The firm's got a disciplinary and grievance procedure now, so the next issue won't be this hard.
ERA 2025 Ready
All 18 contracts are updated and ERA 2025 compliant — a risk they didn't even know they were carrying.
What the Client Said
"We knew we had to deal with it, but we were terrified of getting it wrong and ending up in a tribunal. Sam took it off our hands, did it properly, and handled the hard conversations we'd been dreading. Now we've got the processes in place so we'll never be in that position again."
Services Used
This project combined disciplinary expertise with contract updates and employment law advice to deliver a compliant outcome.
Sitting on a problem you're afraid to act on?
If you've got an underperformance or conduct issue and no process behind you, we'll help you deal with it fairly and protect the business. Book a free HR health check.
Bolton, Manchester & Lancashire · Last reviewed: June 2026