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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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Active Compliance Services Limited

Address:

5 Highley Hall Croft

Clifton

Brighouse

West Yorkshire

HD6 4LL

 

Telephone: 01484 715225

 

Fax: 01484 715225

 

E-mail: sharonwilson5@o2.co.uk

 

Website:

 

Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business.Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992. The firm currently advises sole traders, partnerships and small and large limited companies. The service can be adapted from a one off compliance review in a particular area to ongoing compliance support to assist the firm to adapt to the changes that inevitable affect our industry. The firm is also able to supply a quotation for skilled person (s166) report as required by FSA. Please call to discuss your requirements further.

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: Based in Yorkshire but able to work across the UK

 

Services to Consultancy Firms: Locum/mentoring/buddying, Temporary Consultants,

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