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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.

 
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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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Adam Samuel

Address:

Flat A

4 Candover Street

London

W1W 7DJ

 

Telephone: 020 7323 9171

 

Fax:

 

E-mail: adamsamuel@aol.com

 

Website: www.adamsamuel.com

 

Adam Samuel is an utterly independent consultant who aims to give the right answer to anyone regardless of who they are. He combines qualifications as a lawyer, with the SII Diploma in Compliance (with merit), DipPFS, a complete set of CII Certificate Level of Exams including Mortgage and Equity Release. The author of the only significant book on consumer financial services complaint handling, Adam’s main areas of speciality are customer facing retail, namely complaints, claims, financial promotions, advice standards, client agreements and policy and contract drafting generally. He is also an ex-Ombudsman and vastly experienced in both domestic and international dispute resolution. He is also the co-author of the CII textbook on contract certainty and the author of a major work on international arbitration.

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: UK, Ireland, Hong Kong

 

Services to Consultancy Firms: Locum/mentoring/buddying, Technical helpdesk,

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