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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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10/03/10

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Types of Firms Served

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CCL Partnership LLP

Address:

26 Throgmorton Street

London

EC2N 2AN

 

Telephone: 020 7638 9830

 

Fax: 020 7628 0778

 

E-mail: enquiries@cclcompliance.com

 

Website: www.cclcompliance.com

 

CCL helps you lift the burden of FSA compliance. We can take you through every part of the compliance process – including initial authorisation. Just some of our other services include preparing documentation, regular reviews, anti-money laundering, training and outsourcing. Because compliance is all we do, you know you’ve got genuine experts working on your behalf. Our Principals, Senior Consultants and Consultants have worked in every area of the financial services industry – in every area of regulation. And although CCL is based in the City of London, our clients are spread throughout the world. This gives us a genuinely global perspective – whether you’re new to the UK or looking to expand overseas.

 

Number of Consultants: 6-10

 

Geographic Area Covered: UK and US

 

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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