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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 Management Services Limited

Address:

103-105 Brighton Road

Coulsdon

Surrey

CR5 2NG

 

Telephone: 020 8660 3664

 

Fax: 020 8660 3698

 

E-mail: enquiries@compliancemanagement.co.uk

 

Website: www.compliancemanagement.co.uk

 

CMS was established in 2003 to provide compliance and support services exclusively to general insurance brokers and intermediaries. CMS provides compliance solutions that are tailored to its clients' requirements. The company only uses qualified consultants with a background in the insurance industry and at least five years' experience of compliance and audit work in the insurance broking sector. Support is provided through on-site visits, as well as telephone and email contact. Clients are also kept informed of significant regulatory developments, including revisions to rules and procedures. In addition to compliance and support services, the company offers a number of stand-alone services including file audits and pre-acquisition compliance due diligence.

 

Number of Consultants: 2-5

 

Geographic Area Covered: UK wide

 

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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