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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:
Caledonia Consultancy

Address:

The Penthouse

22 MaLaren Court

1 Fenwick Place

Giffnock

East Renfrewshire

G46 6UF

 

Telephone: 07717 130 031

 

Fax: 0141 638 8877

 

E-mail: caledoniaconsultancy@btinternet.com

 

Website: www.caledoniaconsultancy.com

 

We offer a specialised range of services to assist our clients meet both the spirit and the letter of the regulatory rules whilst continuing to function as an effective business. Our bespoke documentation system aims to provide competent client service and enhanced net profit as well as avoiding future complaints. We are not “box tickers” and “wrist slapping gurus”. We offer a personal, hands on approach working with all staff. All our clients arrive via personal recommendations.

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: Glasgow, Strathclyde and Scottish Central Belt. Some work in the Manchester Area

 

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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