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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

  

Services Offered

Region:
Compliance Solutions (UK) Limited

Address:

PO Box 26

Dobcross

Oldham

OL3 5XB

 

Telephone: 01457 829829

 

Fax:

 

E-mail: info@compliancesolutions.co.uk

 

Website: www.compliancesolutions.co.uk

 

Compliance Solutions (UK) Ltd was established to deliver a tailored and exclusive service to Financial Advisers, Stockbrokers, Solicitors and Accountancy Practices, on the regulatory controls of the financial services industry and the framework in which they operate.  Backed by a team of experienced compliance professionals, the service provided draws upon their breadth of experience, commercial awareness and practical skills.  Services include: Initial audits and monitoring, provision of on-going monitoring, procedural installation, compliance documentation, T&C guidance, TCF guidance, Staff training.

 

Number of Consultants: 2-5

 

Geographic Area Covered: Manchester, Chester, Durham, Huddersfield, Halifax, Leeds, Liverpool, Leicester, Blackburn, North Wales, Southport, Stockport, Macclesfield, Sheffield, Kendal, York

 

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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