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Workshop on 24 September at the FSA offices in London

The APCC is pleased to announce a workshop on 24 September at the London offices of the FSA from 9:30 until noon, registration is from 9 am.  The workshop is for compliance consultants and will focus on the promotion of unregulated collective investment schemes by retail financial advisers.  This follows a recent thematic review by the FSA of this area which found significant failings by regulated firms.  This event is free of charge.

All delegates should have received their email invitation from the FSA for this event, please email the APCC if you have not received your invitation.  Some places may still be available for delegates from APCC member firms.  Again please contact the APCC if you would like to attend the event.

 

news & events

01/09/10

What's new


New items recently added to the website include:

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09/07/10

Authorisation Workshop

 The workshop held on 8 July primarily focussed on authorisations and what makes a good application pack.  In addition Simon Collins gave an update on APCC activities and on enforcement issues following his presentation to the FSA at their own internal enforcement conference. 

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10/03/10

2010 London Forum


The APCC  2010 London forum took place on Tuesday 9th March.

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more news & events

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Professional Standards

06/03/2010 Professional Conduct
These Professional Standards were adopted by the Association with effect from 9 March 2010. The purpose of these Standards is to provide guidance to Members Firms on the minimum standards that the Association expects all its members to meet on a continual basis.

06/03/2010 Experience and Qualifications Standards
These are recommended minimum standards for the experience and qualifications of members consultants.

The APCC considers that each member firm should maintain an experience and qualification matrix which documents that within the firm it has sufficient expertise to support the different areas in which it provides advice.
15/01/2007 Healthcheck Reports Guidance to members on issuing Healthcheck Reports
06/09/2006 Procedures on Change of Compliance Consultancy Firm Guidance to members on best practice procedures on a change of appointment
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