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14 April 2014 FCA AUTHORISATIONS WORKSHOP and REGULATORY SUMMARY

Please note that the registration for the above event is now closed.

We have reached the maximum number of delegates.

 

 

Activities Archive

07/08/13

Operational Risk event on the afternoon of 24 October 2013

  The PRA have asked us to provide the following information to our members;-


We are running an Operational Risk event on the afternoon of 24 October. The half-day seminar will enable the PRA to outline the outlook for regulatory change, identify common themes in firms' Operational Risk frameworks and discuss IT and data security issues.

 The event is aimed at senior executives involved in Operational Risk management and Operational Risk professionals especially from firms regulated by the PRA. These would include:

·          Chief Risk Officers

·          Heads of Operational Risk

·          Heads of Enterprise Risk Management

·          Heads of Internal Audit

·          Non-Executive Directors

·          Operational Risk Professionals

·          Consultants

 There is a fee of £90 per person. 

  For more information including booking instructions please see:

 http://www.bankofengland.co.uk/pra/Pages/news/events/default.aspx

 


21/05/13

APCC; Regional Forums including FCA presentations June 2013

NORTHERN FORUM    4June 2013, The John Smiths Stadium, Stadium Way, Huddersfield, HD1 6PG

 

SOUTHERN FORUM  6June 2013, Offices of L & G, 1 Coleman Street, London, EC2R 5AA


Registration is now open for the above events.  The timings, format and agenda for both forums are the same and are;-

Agenda;-

1.00pm                       Registration (please bring ID if attending the London event)

1.30pm                       APCC Chairmans Update Providing you with a review of the APCCs recent activity and its plans for the future.

2.00pm                       FCA Graham Hinslewood An update on the FCAs current Financial Incentives agenda, and an APCC update on our own working group on this area.

2.30pm                       FCA Gordon Findlay Providing a roundup of forthcoming communications and events

3.00pm                       APCC working group updates and findings covering Consumer Credit Act, RDR Reporting, Authorisations, and Institutional Panel Update

4.20pm onwards      An open forum and chance to discuss those hot topics and concerns with the FCA and the APCC Steering Council  

The events are expected to finish around 5pm, and are open to delegates from consultancy firms, the fee for delegates from member firms and participating affiliates firms is £48 per delegate (i.e. £40 plus VAT), the fee for delegates from other consultancy firms is £120 (i.e. £100 plus VAT).  If you would like to attend the Huddersfield event, please complete the Huddersfield booking form, and if you would like to attend the London event please complete the London  booking form.  by clicking on the link and emailing your completed form back to admin@apcc.org.uk

If you have any questions on the forums or have any difficulty making your event bookings do please email us on admin@apcc.org.uk  Delegate confirmations will be issued on a first come first served basis, delegates from member firms will be confirmed when the booking form is received, all other delegates will be confirmed when both the booking form and payment is received.


30/08/12

Northern Forum Event on 19 September 2012

Program and registration details for the Northern Forum event to be held on 19 September at the John Smith Stadium (previously called the Galpharm Stadium) in Huddersfield.


The program for the event is as follows:

12:45 1:15 Registration, tea and coffee
1:15 1:20   Welcome and introduction - Russell Facer, APCC
1:20 3:00   Authorisations and Variations of Permissions Current Issues presented by James
                    Borley, Gillian Lavabre and Nicola Wildman, managers within the FSA Authorisations
                    and Variations of Permissions Departmentincluding delegate Q & A
3:00 3:20   Tea
3:20 3:40   FSA Communications Department Update - David Thompson, FSA
3:40 4:00   APCC Update - Russell Facer, APCC

Delegates from both APCC member firms and from non-members are welcome.  The fee for delegates from APCC member and affiliate firms is £48 (£40 plus VAT) and for all other delegates the fee is £120 (£100 plus VAT).  You can book for this course using our online booking system for this event or by downloading and completing the registration form for this event.

This is an interactive event so please do come fully armed with all your questions and issues on authorisations and variations of permissions. 


30/08/12

Southern Forum Event on 26 September 2012

Program and registration details for the Southern Forum event to be held on 26 September at 117 Houndsditch, London EC3A 7BT.


The program for the event is as follows:

10:00 10:30 Registration, tea and coffee
10:30 10:35 Welcome and introduction - Simon Collins, APCC
10:35 12:15 Authorisations and Variations of Permissions Current Issues presented by managers
                     from the FSA's authorisations department including delegate Q & A
12:15 12:35 Tea break
12:35 13:00 FSA Communications Department Update - David Thompson, FSA
13:00 13:15 APCC Update - Simon Collins, APCC

Delegates from both APCC member firms and from non-members are welcome.  The fee for delegates from APCC member and affiliate firms is £48 (£40 plus VAT) and for all other delegates the fee is £120 (£100 plus VAT).  You can book for this course using our online booking system for this event or by downloading and completing the registration form for this event.


This is an interactive event so please do come fully armed with all your questions and issues on authorisations and variations of permissions. 


17/07/12

FSA Skilled Persons Reports Briefing on 13 July 2012

On 13 July 2012 the FSA held a briefing for legal, accountancy and consultancy firms who provide Skilled Persons reports on firms regulated by the FSA.


The briefing looked at the recent use of Skilled Persons reports, the internal FSA processes that are being developed to improve the effectiveness of the Skilled Person report, the FSA's expectations in respect of Skilled Persons reports, the lessons learnt over the last 12 months, the impact of the Financial Services Bill, how the FCA and PRA are likely to use this tool and the planned changes over the next 12 months.

A summary of this briefing plus the March briefing given by the FSA at the APCC's annual forum event and the presentation slides used at the July briefing can be accessed by logged in members of the APCC.


10/06/12

Meeting with FSA Permissions Deparment and updated Working Guidelines - April 2012

Representatives of the APCC Steering Council met with the FSA Permissions Department in April 2012 to discuss developments within that department and to review the working guidelines. 


Representatives of the APCC Steering Council met with the FSA Permissions Department in April 2012 to discuss developments within that department and to review the working guidelines.  The summary of the meeting and the updated guidelines are now available to logged in users of the website.

During this meeting the FSA asked that if any consultants were aware of prospective banking applicants that were jurisdiction shopping they contact James Borley at the FSA.

In addition the FSA noted that during the Olympics and ParaOlympics many of their staff would be working from home due to likely travel and other disruptions during this period.  As a result authorisation applications should be submitted both in paper and electronic form if they are to be dealt with during the extended Olympic period.  More details on this can be found here.


21/05/12

Northern Forum Event on 20 June 2012

We are very pleased to announce that there will be an afternoon workshop for compliance consultants on 20 June at the Galpham Stadium in Huddersfield.


An interactive update for consultants on topical compliance issues.

AGENDA

1:15 - Rory Percival from the FSA  - Overview of assessing suitability; centralised investment propositions and replacement business

2:15 - Gordon Finlay from the FSA communications department on
- BRAW update on workshops and regulatory reviews
- RDR details of any upcoming work
- Positive Compliance workshops what is covered and locations
- Future workshops or events
- Compliance consultants/FSA survey more info on next survey
- Other areas to be confirmed.

3:00 - Break

3:20 - Delegate Q & A session on all regulatory compliance topics

3:40 - Russell Facer: APCC update

4:00  -Finish

This event is open to consultants from both member and non-member firms. For delegates from member and affiliate firms the fee is £40 plus VAT (£48), for all other delegates the fee is £100 plus VAT (£120).


You can book for this event by going to our online booking page for this event. Alternatively you can download and complete the registration form for this event.


21/05/12

Southern Forum Event on 27 June 2012

We are very pleased to announce that there will be a morning workshop for compliance consultants on 27 June at the offices of Resources Compliance, 117 Houndsditch, London.



An interactive update for consultants on topical compliance issues.

AGENDA

10:00 - Registration opens

10:30 - Rory Percival from the FSA  - Overview of assessing suitability; centralised investment propositions and replacement business

11:30 - Gordon Finlay from the FSA communications department on
- BRAW update on workshops and regulatory reviews
- RDR details of any upcoming work
- Positive Compliance workshops what is covered and locations
- Future workshops or events
- Compliance consultants/FSA survey more info on next survey
- Other areas to be confirmed.

12:15 - Break

12:35 - Delegate Q & A session on all regulatory compliance topics

12:55 - APCC update

13:15 - Finish

This event is open to consultants from both member and non-member firms. For delegates from member and affiliate firms the fee is £40 plus VAT (£48), for all other delegates the fee is £100 plus VAT (£120).


You can book for this event by going to our online booking page for this event. Alternatively you can download and complete the registration form for this event.


12/03/12

APCC London Forum on 12 March 2012

Our flagship annual event was this year held at the offices of Addleshaw Goddard, Milton Gate, 60 Chiswell Street, London EC1Y 4AG or participants could view it at their desk via webex.
 


The event included:
â?¢ presentations on topical issues by the FSA and industry speakers
â?¢ an opportunity to ask questions directly of the speakers
â?¢ networking with other professional consultants and meeting representatives of the Association


Following the close of the formal part of the event the APCC hosted a networking session at The Globe (83 Moorgate) for all delegates and speakers.


The agenda for the event included the following:

â?¢    chairman's introduction
â?¢    a keynote address from Mike McAteer, director of the FSA
â?¢    Fiona Raistrick of the FSA speaking on developments in S166 reporting
â?¢    Tom Spender of the FSA and David Ellis of Addleshaw Goddard on retail enforcement from both the FSA viewpoint and and from the lawyers who advise regulated firms
â?¢    Russell Warwick of the Prudential speaking on retail distribution
â?¢    John Barrass of APCIMS speaking on MiFID2 and other EU developments
â?¢    an interactive session for delegates and the panel on topical issues for compliance consultants
â?¢    a report from Simon Collin, chairman of the Association, on the APCC plans for 2012 and beyond
â?¢    the 2012 annual general meeting of the Association

The chairman's presentation slides are available here.  All the presentations and audio recordings from the event, where permission has been given by the speakers, are available to logged in users of the website.


12/01/12

Business Risk Awareness and Proactive Regulatory Review Workshop on 2nd February


The APCC held an event on 2 February for member firms only on the FSA's Business Risk Awareness Workshops and follow up assessments. 


BUSINESS RISK AWARENESS EVENT on 2 FEBRUARY
This event was an interactive session by Grahame Hinselwood and Nick Ross of the FSA on the FSAs Business Risk Awareness Roadshows and follow up Proactive Regulatory Review.  Grahame and Nick provided a first hand insight into the format and content of the initial stage workshops and the different types of follow up assessments and the content of these assessments.  Every small retail firm is being invited to the roadshow events and the follow up assessments so it is key that consultants are fully aware of the purpose and scope of this FSA project. 

We are very pleased that the FSA is actively looking to assist consultancy firms in helping their clients prepare for these assessments.  The event included ample opportunity for consultants to ask questions regarding the assessments and to provide feedback to them.  More details of these roadshows can be found on the FSA website.

The event took place in the Schroders Auditorium at their offices in 31 Gresham Street. Registration for the event opened at 9:30 with the event starting at 10 am, the event finished at 12:30.

The event was available to delegates from member firms only and the cost was £48 per delegate (i.e. £40 plus VAT).

The slides from this event are now available to logged in APCC members.

 

Document: news/120112_182546_BRAW Workshop London Registration Form Feb 2012.doc

 


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