Policies & Procedures
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. Policies are vital especially with CASS and if it isn't written down then it probably isn't happening!
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.
Please contact us via our Contact Page.