According to a Complinet survey many financial services staff do not read their policy manuals and are not aware of corporate policies and procedures. With the ever increasing change in regulations many firms are ill equipped to keep up to date.

The lack of a Compliance Manual has been identified in a number of enforcement notices. We have provided a number of compliance manuals and guides to large life offices, insurance intermediaries and mortgage brokers in the UK and overseas so no job is too big or too small.

Having provided a whole suite of policies and procedures in a number of firms and written a comprehensive Compliance Manual and Senior Management handbook the compliance consultants at AJS Consultancy Services are able to plug the gap and provide easy to read and top quality material to resolve any Compliance Policy gaps.

Examples of policies and procedures provided include:

• Anti money laundering
• Fraud Prevention
• Introducer Appointments (explaining the Perimeter Guidelines)
• Claims Handling
• Complaints
• Financial Promotions
• Treating Customers Fairly TCF (including implementation plans and strategy document)
• Apportionment statements
• Approved Persons Appointment
• Breaches
• Client Communications and Privacy
• Compliance Advice recording
• Conflicts of Interest
• Delegated / Binding Authorities
• Email Policy
• Gifts and Entertainment
• Outsourcing
• Record Keeping
• Regulatory Change
• Whistleblowing

We can catered for all your needs so please contact us via our Contact Page.