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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 Focus Limited

Address:

23 Cholmley Drive

Newton-le-Willows

Merseyside

WA12 8EE

 

Telephone: 07957 314776

 

Fax:

 

E-mail: info@compliancefocus.co.uk

 

Website: www.compliancefocus.co.uk

 

Running any business is challenging, not least one that operates in a regulated environment. That's why on top of everything else, it helps to have support from a compliance specialist with 22 years experience in the industry.
We also know when choosing a compliance consultant you'll want to know that you're getting both value and quality for your money.
At Compliance Focus we take time to understand your business, your strategy, your culture, your values - you!  We'll then deliver solutions that will work for your business.

We'll agree expectations.......then we'll exceed
them!

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: Northwest of England but operates nationally

 

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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