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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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Professional Standards

Events - London March 2010

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Types of Firms Served

Number of Consultants

 

Services Offered

Region:

Callidus Solutions Limited

Address:

4th Floor

Mitre House

12-14 Mitre Street

London

EC3A 5BU

 

Telephone: 0203 207 0081

 

Fax:

 

E-mail: solutions@callidusconsult.com

 

Website: www.callidusconsult.com

 

Callidus Solutions specialises in providing support to the Boards and Senior Management of SME businesses across a broad spectrum of disciplines: CoSec - Technical advice, Locum work, Corporate Secretary,Records Reconstruction, Statutory Records maintenance, business support, share schemes and benefits administration Corporate Actions - project management resource, due diligence, compiling data rooms, regulatory reviews; Governance - Board & Committee Health Checks, Drafting Terms of reference, Training Regulatory - Blue Sky Review, Compliance Health Checks, licensing, regulatory reporting; Applications - Lloyd's, FSA, International Risk Management - Risk Registers, briefings, training, documentation, ICA submissions Search - Non Executives, Compliance, Internal Audit & Risk Training - FSA and Lloyd's, Anti Money Laundering,Financial Crime, Complaints, Treating Customers Fairly. Finance - Audit, Resource, SarBox International - We work with UK and International Insurance Groups and have significant experience in International Licensing, establishing branches and local operations. We are particularly experienced in managing applications involving multiple jurisdictions and requiring input from stakeholders around the world. We have considerable experience of Lloyd's, FSA and international regulatory requirements and procedures. Jurisdictions covered Europe, UAE, Hong Kong, Singapore, Australasia, USA/Canada, South Africa, South America. Wherever possible we leverage technology and have introduced an online documentation system using state of the art process mapping software. Full details of our comprehensive business support products may be obtained via the website www.callidusconsult.com

 

Number of Consultants: 2-5

 

Geographic Area Covered: International

 

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