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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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Types of Firms Served

Number of Consultants

  

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Region:
Axiom Compliance Limited

Address:

19 Coalecroft Road

London

SW15 6LW

 

Telephone: 07941156951

 

Fax: 020 8785 2443

 

E-mail: sarah@axiomcompliance.co.uk

 

Website: www.axiomcompliance.co.uk

 

Axiom Compliance represents a unique presence in the regulation of banking and financial services offering market and regulatory experience in an integrated firm. Axiom Compliance’s aim is to provide sound compliance advice and hands on solutions. We recognise that compliance should go hand in hand with risk management and good business practice.

Axiom provides a wide range of financial compliance services and regulatory advice across banking and financial institutions. We enable you to stay within the regulations in the most cost effective, timely and practical manner, whilst not stifling your business.

Axiom’s compliance professionals are ex regulators with significant industry knowledge and an understanding of commercial business concerns. Our experience is gained from employment with the SFA and FSA and in the financial services and banking industry. Our close links with risk management specialists, auditors and law firms enable us to go beyond the pure compliance aspects of your business.

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: London and main UK financial districts

 

Types of Client Firm Served:

Authorised Professional Investment Banks✓
Banks/Deposit Takers Lloyds
Building Societies Mortgage Brokers
Collective Investments Funds Mortgage Lenders/Administrators
Corporate Finance Firms✓ Multi lateral trading facility✓
Credit Unions Payments Institutions
Electronic Money Issuers✓ Pension Scheme Operator/Provider
Energy Market Participants✓ Private Client Investment Management✓
Friendly Societies Retail Investment Management
IFA Sale and rent back
Institutional Investment Management✓ Secondary Intermediaries
Insurance Brokers - General Securities and Futures Firms✓
Insurance Brokers - Pure Protection Products Stockbrokers✓
Insurers Third Party Providers

 

Services Offered:

Authorisation✓ File Review✓
Compliance Advice✓ Financial Returns Assistance
Compliance Support✓ Health Checks✓
Compliance Training✓ Mis-selling Reviews
Complaints Reviews✓ Money Laundering Reviews✓
Documentation✓ Pension Reviews
Enforcement Action✓ Regulatory Updates
Expert Witness Skilled Persons Reports
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