AML requirements are not just about identifying clients. The requirements are demanding and, since failure can lead to criminal proceedings, it is important to get it right. JSCC can provide support in helping you get it right.

Nobody likes to fill in forms!

We all know that there is an aversion for people to fill in forms especially ones they are not familiar with.

The FCA application forms can be quite daunting and finding your way round what they require is not as easy as it could be.

We can provide a full service to help you gain authorisation, amend your authorisation levels, deal with new Controlled Function applications, Change of Control, etc. and also resignations (which must be carried out promptly and correctly).

Our service includes reviewing the business plan, drafting of the forms and supporting documentation, assisting with any responses to queries and attending any meetings or conference calls required by the FCA.

Support is available for complaints that fall under the auspices of FOS (the Financial Ombudsman Service) as an FCA regulated firm. We offer the following services:

• Drafting compliant complaint procedures

• Providing advice on complaints and complaint handling

• Reviewing complaints procedures and adherence to them

• Independent review of individual complaints

• Staff training on complaints and complaints handling

Whether you are a regulated firm or starting up, it is crucial to have business policies and procedures that are up to date and in line with the law and regulations.

JSCC can advise and assist you with the following:

• Drafting a Compliance Manual based on your business processes

• Reviewing and updating existing manuals, processes and procedures

• Provide advice on processes and procedures in order to meet compliance requirements

• Drafting policies and policy statements to meet regulatory requirements.