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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

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09/07/10

Authorisation Workshop

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10/03/10

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Types of Firms Served

Number of Consultants

  

Services Offered

Region:
Active Compliance Services Limited

Address:

5 Highley Hall Croft

Clifton

Brighouse

West Yorkshire

HD6 4LL

 

Telephone: 01484 715225

 

Fax: 01484 715225

 

E-mail: sharonwilson5@o2.co.uk

 

Website:

 

Active Compliance Services Ltd are able to offer a range of compliance services to Independent Financial Advisers, General Insurance Brokers and Mortgage Brokers. The firm offers a bespoke service that is tailored to meet the needs of a particular firm. This is agreed upon discussion with the firm and generally upon undertaking an initial assessment of the business.Sharon Wilson, the Principal of Active Compliance Services Ltd, has worked in the financial services area of compliance since 1992. The firm currently advises sole traders, partnerships and small and large limited companies. The service can be adapted from a one off compliance review in a particular area to ongoing compliance support to assist the firm to adapt to the changes that inevitable affect our industry. The firm is also able to supply a quotation for skilled person (s166) report as required by FSA. Please call to discuss your requirements further.

 

Number of Consultants: Sole Consultant

 

Geographic Area Covered: Based in Yorkshire but able to work across the UK

 

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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