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	You may wish to expand your current regulated activities or even ring fence particular regulated activities into a new regulated company. The FSA will need appropriate time to consider even the most straightforward of applications. The more complex the application, the longer the FSA will need. The ‘clock’ only starts ticking once they consider they have received a full and complete application pack. It is often very difficult for firms to find the dedicated focus and resources that preparing for such an application will require. Gem Compliance can assist firms to identify whether an FSA application is needed and if so, what the appropriate next steps are. This will include identifying what senior management need to be aware of regarding the process, documentation and timescales involved so they can plan and schedule business developments appropriately. Much information for an application needs to come from the business itself therefore this is not just a compliance task. We can guide firms through or complete the complex application forms, and we can liaise with the FSA to ensure that the application gets the correct attention it deserves. We can work with the compliance function to design and implement updated systems and controls and procedures to reflect your firm’s revised activities and communicate the changes to any staff impacted.

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Gem Compliance Consulting Limited. Registered Office 5 Atholl Crescent, Edinburgh, EH3 8EJ. Registered in Scotland, no. SC 294346. VAT No. 877589052